Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Pfaff has been in the financial services industry since 1996. Stephen is a Certified Financial Planner™ professional with over 25 years of experience. Stephen currently works at Cetera Investment Advisers LLC in Clearwater, Florida, where he serves as an Investment Advisor Representative. Prior to Cetera Investment Advisers LLC, Stephen worked at Summit Brokerage Services, Inc., VSR Financial Services, Inc., Atlantic Coast Securities Corporation, FFP Securities, Inc., and Capital Analysts, Incorporated. Stephen Pfaff is registered with FINRA and in 19 states as a broker-dealer and as an Investment Advisor Representative.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
FL
06/01/2023 - Present
Cetera Investment Advisers LLC (CLEARWATER FL)
FL
08/22/2016 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (CLEARWATER FL)
FL
05/31/2007 - 09/01/2016
VSR FINANCIAL SERVICES, INC. (CLEARWATER FL)
FL
06/13/2001 - 06/08/2007
ATLANTIC COAST SECURITIES CORPORATION (CLEARWATER FL)
MO
06/19/1997 - 06/11/2001
FFP SECURITIES, INC. (CHESTERFIELD MO)
OH
03/22/1996 - 06/20/1997
CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)
BC
Issued 06/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/21/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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