Brent A. Pfaff
Professional summary
Brent Alan Pfaff, who also goes by Brent Allan Pfaff, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.
Brent is registered as a RR (Registered Representative) and started their career in finance in 2021. Brent has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brent Alan Pfaff's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2025 - Present
BA SECURITIES, LLC
Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428November 15, 2021 - June 21, 2022
TRIPLETREE, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/21/2025)
(7/30/2025)
(7/30/2025)
(8/22/2025)
Exams
Series 79TO
Date: 7/30/2025
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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