Megan E. Pfeiffer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Megan E Pfeiffer, who also goes by Megan E Geary, Megan Elizabeth Geary, Meagan Elizabeth Mueller, Megan Elizabeth Mueller, Megan Elizabeth Pfeiffer, Megan Elizabeth VIvacqua, Megan Vivacqua, was a registered financial professional .
Megan is a previously registered financial professional and started their career in finance in 1996. Megan had worked at 18 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2021 - August 18, 2023
THE LEADERS GROUP, INC.
July 22, 2019 - February 10, 2020
VERITY INVESTMENTS, INC.
March 13, 2017 - July 3, 2017
DEMPSEY LORD SMITH, LLC
June 24, 2014 - March 25, 2015
NYLIFE SECURITIES LLC
December 19, 2012 - August 6, 2013
FORTITUDE ADVISORY GROUP L.L.C.
October 20, 2011 - August 6, 2013
ARGENTUS SECURITIES, LLC
May 12, 2009 - June 8, 2011
WALTON SECURITIES, INC.
April 16, 2009 - May 5, 2009
INDEPENDENT FINANCIAL PARTNERS
March 12, 2009 - May 6, 2009
MUTUAL SERVICE CORPORATION
March 5, 2009 - May 6, 2009
MUTUAL SERVICE CORPORATION
December 5, 2006 - March 21, 2007
NATIONWIDE INVESTMENT ADVISORS, LLC
July 26, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 25, 2006 - March 19, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 25, 2006 - July 12, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 21, 2006 - July 12, 2006
TD AMERITRADE, INC.
February 27, 2006 - July 12, 2006
TD AMERITRADE, INC.
July 15, 2005 - July 29, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 3, 2003 - January 13, 2004
1717 CAPITAL MANAGEMENT COMPANY
August 21, 2002 - June 9, 2003
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 30, 2001 - April 29, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 1, 1999 - August 16, 2000
TALBOT FINANCIAL SERVICES, INC.
October 30, 1998 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
January 22, 1996 - November 27, 1996
SIGNATOR FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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