Paul R. Pfeifer
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.
Paul Ray Pfeifer was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2003. Paul had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - March 9, 2017
WEALTHFORGE SECURITIES, LLC
January 22, 2016 - December 31, 2018
STERLINGPFEIFER WEALTH ADVISORS PC
April 7, 2015 - October 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 2015 - October 27, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 23, 2014 - April 9, 2015
VALIC FINANCIAL ADVISORS, INC.
October 16, 2014 - April 9, 2015
VALIC FINANCIAL ADVISORS, INC.
July 16, 2014 - October 3, 2014
REDHAWK WEALTH ADVISORS, INC.
September 2, 2005 - November 15, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
August 6, 2003 - September 7, 2005
EDWARD JONES
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
Current Firm
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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