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SHANE DOUGLAS PFEFFER
CRD#: 2492871
IA
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VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 7551 CALLAGHAN RD STE 100
SAN ANTONIO, TX 78229
SAN ANTONIO, TX 78229
0
Disclosures
30
Years of Experience
View By:
State Registrations
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Arizona 5/4/2023
B
New Mexico 6/9/2020
B
Colorado 5/4/2023
B
Ohio 7/9/2024
B
Florida 2/5/2024
B
Oregon 5/4/2023
B
Georgia 5/4/2023
B
Texas 1/3/2011
B
Minnesota 6/1/2023
IA
Texas 1/3/2011
B
Missouri 7/9/2024
B
Virginia 5/4/2023
B
Montana 1/7/2025
SRO Registrations
B
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Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2004 - 01/03/2011 | SAN ANTONIO, TX | |
B | 12/15/2003 - 01/03/2011 | SAN ANTONIO, TX | |
B | 04/15/2003 - 11/21/2003 | WORCESTER, MA | |
IA | 02/24/2003 - 04/10/2003 | HOUSTON, TX | |
B | 10/30/1997 - 04/10/2003 | HOUSTON, TX | |
B | 05/26/1994 - 12/31/2001 | HOUSTON, TX |
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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.