Marcel D. Pfister

SVB WEALTH

New York, NY 10036

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CRD#: 6058801

Professional summary

Marcel Dominik Pfister, who also goes by Marcel Pfister, is a registered financial advisor currently at SVB WEALTH located in New York, New York.

Marcel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Marcel has worked at 3 firms and has passed the Series 65, Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marcel Pfister

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcel Dominik Pfister's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 7, 2022 - Present

SVB WEALTH

Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036

RIA

CRD#: 172832

New York, NY

Past

August 11, 2021 - December 14, 2022

FARTHER

RIA

CRD#: 302050

Lansdowne, PA

Past

August 25, 2014 - October 19, 2020

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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

California
(12/7/2022)

IAR

District of Columbia
(3/6/2023)

IAR

Georgia
(1/13/2023)

IAR

Maryland
(12/7/2022)

IAR

New Hampshire
(5/23/2024)

IAR

New Jersey
(1/4/2023)

IAR

New York
(12/7/2022)

IAR

Pennsylvania
(12/7/2022)

IAR

Texas
(12/7/2022)

IAR

Virginia
(12/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/15/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/11/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/23/2014

General Securities Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Marcel D. Pfister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marcel Dominik Pfister's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARTHER

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2021

Series 66

Date: 9/15/2014

SIE

Date: 10/1/2018

Series 3

Date: 5/11/2018

Series 7

Date: 8/23/2014

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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