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BRIAN C PFEIFLER
BMAN C PFEIFLER, BRIAN PFEIFLER
CRD#: 2083301
IA
B
MORGAN STANLEYCRD#: 149777 1585 Broadway
21St Floor
New York, NY 10036
21St Floor
New York, NY 10036
View By:
1/22/2024
Customer Dispute
Pending
12/29/2023
Customer Dispute
Pending
State Registrations
B
Alabama 6/1/2009
B
Nebraska 2/18/2022
B
Alaska 3/22/2019
B
Nevada 4/24/2019
B
Arizona 1/9/2014
B
New Hampshire 1/9/2014
B
Arkansas 2/18/2022
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 2/18/2022
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/1/2009
IA
New York 6/16/2021
B
Delaware 6/1/2009
B
North Carolina 6/1/2009
B
District of Columbia 6/1/2009
B
North Dakota 4/24/2019
B
Florida 6/1/2009
B
Ohio 4/25/2019
IA
Florida 7/1/2019
B
Oklahoma 9/4/2020
B
Georgia 6/1/2009
B
Oregon 2/18/2022
B
Hawaii 2/18/2022
B
Pennsylvania 6/1/2009
B
Idaho 2/18/2022
B
Puerto Rico 12/23/2020
B
Illinois 11/30/2017
B
Rhode Island 6/1/2009
B
Indiana 4/24/2019
B
South Carolina 2/14/2018
B
Iowa 2/18/2022
B
South Dakota 2/11/2019
B
Kansas 2/18/2022
B
Tennessee 6/1/2009
B
Kentucky 6/1/2009
B
Texas 6/1/2009
B
Louisiana 2/17/2022
IA
Texas 6/1/2009
B
Maine 6/1/2009
B
Utah 6/1/2009
B
Maryland 6/1/2009
B
Vermont 2/18/2022
B
Massachusetts 6/1/2009
B
Virgin Islands 2/18/2022
B
Michigan 1/9/2014
B
Virginia 6/1/2009
B
Minnesota 1/7/2022
B
Washington 6/1/2009
B
Mississippi 6/1/2009
B
West Virginia 2/18/2022
B
Missouri 2/18/2022
B
Wisconsin 6/1/2009
B
Montana 6/1/2009
B
Wyoming 1/9/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/22/2002 - 06/01/2009 | NEW YORK, NY | |
B | 11/19/1992 - 06/01/2009 | NEW YORK, NY | |
B | 11/19/1992 - 06/06/1994 | NEW YORK, 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.