Individual Firm
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Terry Michael Pfeifer
CRD#: 1327603
IA
B
EDWARD JONESCRD#: 250 308 N LOCUST STREET SUITE 304
GRAND ISLAND, NE 68801
GRAND ISLAND, NE 68801
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12/12/2013
Customer Dispute
Denied
4/1/1982
Criminal
Final Disposition
State Registrations
B
Alabama 5/24/2018
B
New Jersey 1/2/2025
B
Arizona 10/9/2009
B
New Mexico 3/4/2013
B
California 9/4/2009
B
New York 2/6/2013
B
Colorado 9/4/2009
B
Oregon 2/11/2011
B
Florida 8/15/2013
B
Pennsylvania 9/4/2009
B
Illinois 3/1/2016
B
South Carolina 7/29/2021
B
Iowa 9/4/2009
B
South Dakota 3/26/2021
B
Kansas 9/4/2009
B
Texas 9/4/2009
B
Michigan 2/14/2011
IA
Texas 8/26/2014
B
Minnesota 9/4/2009
B
Vermont 2/13/2019
B
Missouri 8/13/2010
B
Virginia 1/6/2010
B
Montana 9/27/2018
B
Washington 1/5/2010
B
Nebraska 9/4/2009
B
Wisconsin 1/2/2019
IA
Nebraska 10/8/2009
B
Wyoming 9/4/2009
B
Nevada 11/9/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 10/8/2009
B
Registered with this firm since 9/4/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/1997 - 10/05/2009 | GRAND ISLAND, NE | |
B | 08/13/1996 - 10/05/2009 | GRAND ISLAND, NE | |
B | 12/17/1984 - 08/30/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.