CP
Craig D. Pfeiffer
RISKBRIDGE ADVISORS
CINCINNATI, OH
Some features on this profile are disabled
CRD#: 730623
CP
Professional summary
Craig David Pfeiffer is a registered financial advisor currently at RISKBRIDGE ADVISORS, LLC located in Cincinnati, Ohio.
Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Craig has worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Name of Business: Money Management Institute;
Investment-Related: No, not investment-related;
Business Address:1177 Avenue of the Americas, 7th Floor, New York, NY 10036;
Nature of Business: Industry Association;
Position/Title: President & CEO;
Start date: 5/1/2015;
Approximate hours per month devoted to business: 120;
Number of hours per day devoted during trading hours: 4-6;
Description of duties performed: Full executive responsibility for strategy, staffing, finances, operations, initiatives and their implementation.
2. Name of Business: Hohting Group, LLC;
Investment Related?: No, business is related to financial services industry, not investments;
Business Address: 14 Auserehl Court, Huntington, NY 11743;
Nature of Business: Management Consulting;
Position/Title: President & CEO;
Start date: 1/1/2012;
Approximate hours per month devoted to business: 5;
Number of hours per day devoted during trading hours: 0.1;
Description of duties performed: Full executive responsibility for strategy, staffing, finances, operations, initiatives and their implementation.
3.Name of Business: Westfield Insurance, Ohio Farmers Insurance Company;
Investment-Related?: No, not investment-related;
Business Address: One Park Circle, PO Box 5001, Westfield Center, OH 44251;
Nature of Business: Property & Casualty Insurance;
Position/Title: Board Director;
Start date: 5/1/2016;
Approximate hours per month devoted to business: 4-6;
Number of hours per day devoted during trading hours: 0.1;
Description of duties performed: Independent Board Director.
4. Name of Business: Corsair Capital;
Investment-Related?: Yes, but role is separated from investment activities;
Business Address: 717 Fifth Avenue, 24th Floor, New York, NY 10022;
Nature of Business: Private Equity;
Position/Title: Operating Partner;
Start date: 4/1/2018;
Approximate hours per month devoted to business: 4-6;
Number of hours per day devoted during trading hours: 0.1;
Description of duties performed: Advisory services with financial services industry experience and expertise.
5. Name of Business: Advisors Ahead, LLC;
Investment-Related?: No, not investment-related;
Business Address: 14 Auserehl Court, Huntington, NY 11743;
Nature of Business: Financial services training and education;
Position/Title: President & CEO;
Start date: 1/1/2012;
Approximate hours per month devoted to business: 3;
Number of hours per day devoted during trading hours: 0.1;
Description of duties performed: Full executive responsibility for strategy, staffing, finances, operations, initiatives and their implementation.
CRS (Client Relationship Summary) - RIA
Click below to view Craig David Pfeiffer'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
February 11, 2021 - Present
RISKBRIDGE ADVISORS, LLC
RIA
CRD#: 310396
CINCINNATI, OH
Past
November 5, 2013 - May 13, 2014
DOMINARI SECURITIES LLC
BD
CRD#: 18975
NEW YORK, NY
Past
June 1, 2009 - October 14, 2011
MORGAN STANLEY
RIA
CRD#: 149777
PURCHASE, NY
Past
June 1, 2009 - October 14, 2011
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
July 27, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
April 23, 2003 - February 10, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 22, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 18, 1981 - August 2, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
RA
RISKBRIDGE ADVISORS, LLC
FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE
CRD#: 310396 / SEC#: 801-119715
RIA
Registered Investment Advisory firm - (10/30/2020 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
Connecticut(2/11/2021)
IAR
Ohio(1/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 5
Date: 5/10/1985
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 1/20/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/23/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RA
RISKBRIDGE ADVISORS, LLC
FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE
CRD#: 310396 / SEC#: 801-119715
RIA
Registered Investment Advisory firm - (10/30/2020 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
401 Merritt 7 Ph, Norwalk, CT 06851
Mailing Address
Phone number
(203) 658-6055
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 205 |
| AUM (Assets Under Management) | $ 833,821,631 |
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.
