BP
Benjamin R. Pfiffner
CHICAGO CAPITAL MANAGEMENT ADVISORS
Stevens Point, WI
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CRD#: 5420001
BP
Professional summary
Benjamin R Pfiffner, who also goes by Ben Pfiffner, is a registered financial advisor currently at CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC located in Stevens Point, Wisconsin.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Benjamin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Pfiffner
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Pffifner & Associates d/b/a Benjamin Pfiffner Insurance Agency. Life, Health, and Annuity sales. 100 hours per month. Not Investment related. Activities may occur during market hours, Started 03/2011. AB Pfiffner Chain Vacations LLC. Real Estate Rental Business. 15 hours per month, not investment related. Activities may occur during market hours. May occur during market hours, Started 07/2017.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin R Pfiffner's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 22, 2020 - Present
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC
RIA
CRD#: 123483
Stevens Point, WI
Past
January 29, 2024 - December 31, 2024
ASSET STRATEGIES, INC
RIA
CRD#: 104512
LISLE, IL
Past
November 8, 2019 - January 24, 2020
AMERICAN TRUST INVESTMENT SERVICES, INC.
BD
CRD#: 3001
WHITING, IN
Past
July 23, 2018 - December 26, 2019
AVELLINO FINANCIAL ADVISORS, INC.
RIA
CRD#: 164805
Wausau, WI
Past
August 11, 2017 - December 6, 2019
FOREST SECURITIES,INC.
BD
CRD#: 16255
HILLSIDE, IL
Past
July 21, 2017 - July 27, 2017
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
KENTWOOD, MI
Past
March 31, 2008 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
WAUSAU, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CC
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC | CHICAGO MANAGEMENT ADVISORS, INC
CRD#: 123483 / SEC#: 801-130438
RIA
Registered Investment Advisory firm - (6/12/2024 Approved)Arizona
Registered Investment Advisory firm - (10/23/2024 Terminated)California
Registered Investment Advisory firm - (11/22/2024 Terminated)Colorado
Registered Investment Advisory firm - (10/24/2024 Terminated)Florida
Registered Investment Advisory firm - (10/23/2024 Terminated)Illinois
Registered Investment Advisory firm - (10/23/2024 Terminated)Indiana
Registered Investment Advisory firm - (11/1/2024 Terminated)Louisiana
Registered Investment Advisory firm - (10/25/2024 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2024 Terminated)Michigan
Registered Investment Advisory firm - (11/4/2024 Terminated)New York
Registered Investment Advisory firm - (9/30/2004 Cancelled)North Carolina
Registered Investment Advisory firm - (10/25/2024 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/24/2024 Terminated)Texas
Registered Investment Advisory firm - (10/23/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (10/23/2024 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(6/21/2023)
IAR
Wisconsin(6/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CC
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLC | CHICAGO MANAGEMENT ADVISORS, INC
CRD#: 123483 / SEC#: 801-130438
RIA
Registered Investment Advisory firm - (6/12/2024 Approved)Arizona
Registered Investment Advisory firm - (10/23/2024 Terminated)California
Registered Investment Advisory firm - (11/22/2024 Terminated)Colorado
Registered Investment Advisory firm - (10/24/2024 Terminated)Florida
Registered Investment Advisory firm - (10/23/2024 Terminated)Illinois
Registered Investment Advisory firm - (10/23/2024 Terminated)Indiana
Registered Investment Advisory firm - (11/1/2024 Terminated)Louisiana
Registered Investment Advisory firm - (10/25/2024 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2024 Terminated)Michigan
Registered Investment Advisory firm - (11/4/2024 Terminated)New York
Registered Investment Advisory firm - (9/30/2004 Cancelled)North Carolina
Registered Investment Advisory firm - (10/25/2024 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/24/2024 Terminated)Texas
Registered Investment Advisory firm - (10/23/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (10/23/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4722 Main Street, Lisle, IL 60532
Mailing Address
Phone number
(630) 241-1122
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 560 |
| AUM (Assets Under Management) | $ 122,346,642 |
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.
