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Detailed Report
KATHRYN SUE PFEIFFER
KATHRYN S LENZENHUBER, KATHRYN SUE LENZENHUBER, KATIE PFEIFFER
CRD#: 4712376
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 Fairway, KS
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2003 - 2006 (3 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2004 - 2006 (2 years)
Disclosure(s)
View By:
3/5/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Kansas 9/13/2024
B
Missouri 8/6/2014
IA
Kansas 9/13/2024
IA
Missouri 8/6/2014

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
Fairway, KS
Registered with this firm since 8/6/2014
B
EDWARD JONES (CRD#:250)
Fairway, KS
Registered with this firm since 8/6/2014
Previous Registration(s)
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IA
 03/24/2009 - 07/31/2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST. LOUIS, MO
B
 03/24/2009 - 07/31/2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) ST. LOUIS, MO
IA
 08/16/2007 - 03/16/2009 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 08/16/2007 - 03/16/2009 EDWARD JONES (CRD#:250) ST LOUIS, MO
IA
 02/01/2007 - 08/15/2007 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) CHESTERFIELD, MO
B
 02/01/2007 - 08/15/2007 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) CHESTERFIELD, MO
IA
 11/09/2004 - 11/07/2006 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) ST. LOUIS, MO
B
 10/27/2003 - 11/07/2006 PRUCO SECURITIES, LLC. (CRD#:5685) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.