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Kurt Edward Pfafflin

SG Americas Securities, LLC

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About Kurt Edward Pfafflin

Kurt Edward Pfafflin is a registered representative with SG Americas Securities, LLC. Kurt has been in the securities industry since May 1, 2019. Kurt is licensed to conduct business in Illinois. Kurt previously worked for BOFA SECURITIES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Kurt has passed the General Securities Representative Examination, the Securities Industry Essentials Examination and the Uniform Securities Agent State Law Examination.

Firm Information

Kurt Pfafflin is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Kurt Pfafflin’s Registration & Firm History

IL

06/28/2021 - Present

SG Americas Securities, LLC (CHICAGO IL)

NY

05/10/2019 - 06/07/2021

BOFA SECURITIES, INC. (NEW YORK NY)

NY

04/12/2019 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/27/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/12/2019

Series 7TO - General Securities Representative Examination

BC

Issued 04/12/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kurt Edward Pfafflin.
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