Peter J. Pflanzer
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.
Peter John Pflanzer was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1973. Peter had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2009 - December 31, 2015
MADISON AVENUE SECURITIES, LLC
January 2, 2008 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
May 19, 2006 - December 31, 2015
MADISON AVENUE SECURITIES, LLC
May 8, 2000 - December 31, 2003
FINANCIAL PLANNING
January 5, 1998 - May 31, 2006
USALLIANZ SECURITIES, INC.
July 10, 1981 - January 12, 1998
DREHER & ASSOCIATES, INC.
January 24, 1980 - July 17, 1981
DAVID SHERMAN & COMPANY
March 2, 1973 - November 20, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
March 2, 1973 - November 20, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1973 - November 20, 1983
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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 1
Date: 2/26/1973
Registered Representative ExaminationCurrent Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
