Jeffrey S. Pavlu
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.
Jeffrey Scott Pavlu, who also goes by Jeff Pavlu, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2010. Jeffrey had worked at 5 firms and has passed the Series 66, Series 63, 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
August 28, 2017 - February 14, 2019
TD AMERITRADE, INC.
August 24, 2017 - February 14, 2019
TD AMERITRADE, INC.
August 24, 2017 - February 14, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 21, 2016 - September 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2016 - September 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2015 - January 18, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
October 21, 2014 - December 8, 2014
SECURIAN FINANCIAL SERVICES, INC.
September 15, 2014 - December 8, 2014
SECURIAN FINANCIAL SERVICES, INC.
May 6, 2010 - January 5, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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