Evan Pfeuffer
Professional summary
Evan Pfeuffer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Evan is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Evan had worked at 6 firms, which includes STONEX FINANCIAL INC., BTIG LLC, CREDIT SUISSE SECURITIES (USA) LLC, UBS SECURITIES LLC, UBS CAPITAL MARKETS L.P., SCHWAB ALTERITY L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2021 - November 15, 2024
STONEX FINANCIAL INC.
April 27, 2015 - March 5, 2021
BTIG, LLC
October 15, 2012 - May 1, 2015
CREDIT SUISSE SECURITIES (USA) LLC
December 13, 2005 - September 26, 2012
UBS SECURITIES LLC
July 14, 2004 - January 3, 2006
UBS CAPITAL MARKETS L.P.
September 26, 2003 - June 30, 2004
SCHWAB ALTERITY, L.P.
May 9, 1997 - August 26, 1997
CREDIT SUISSE SECURITIES (USA) LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 7/23/2008
Limited Representative-Equity Trader ExamCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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