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VINCENT DEPAUL PFEIFER
CRD#: 2022606
IA
B
WELLS FARGO ADVISORSCRD#: 19616 70 N COUNTRY RD STE 301
PORT JEFFERSON, NY 11777
PORT JEFFERSON, NY 11777
0
Disclosures
35
Years of Experience
View By:
State Registrations
B
Arizona 1/9/2013
B
New York 1/1/2008
B
California 1/1/2008
IA
New York 7/27/2021
B
Delaware 1/1/2008
B
North Carolina 10/24/2024
B
District of Columbia 3/31/2020
B
Oregon 9/15/2010
B
Florida 1/1/2008
B
Pennsylvania 1/1/2008
B
Maryland 1/1/2008
B
South Carolina 9/22/2020
B
Massachusetts 10/17/2023
B
Washington 1/1/2008
B
Michigan 10/19/2022
B
Wisconsin 1/1/2008
B
Montana 1/1/2008
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 7/27/2021
B
Registered with this firm since 1/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/25/2007 - 01/03/2008 | PORT JEFFERSON, NY | |
B | 08/24/2007 - 10/03/2007 | MELVILLE, NY | |
B | 12/14/2001 - 08/27/2007 | PORT JEFFERSON, NY | |
B | 02/15/1990 - 12/21/2001 | HAUPPAUGE, NY |
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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.