Veronica L. Pflueger
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.
Veronica Lea Pflueger, CFP®, who also goes by Veronica L Pflueger, was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 2015. Veronica had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
July 10, 2018 - December 21, 2022
WOODWARD FINANCIAL ADVISORS, INC.
August 10, 2015 - July 27, 2016
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
WOODWARD FINANCIAL ADVISORS, INC.
CRD#: 150641 / SEC#: 801-70279
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
WOODWARD FINANCIAL ADVISORS, INC.
CRD#: 150641 / SEC#: 801-70279
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 197 |
| AUM (Assets Under Management) | $ 574,323,013 |
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.
