TP
TP
Thomas Pfeifer
32 Years of Experience
Knoxville, TN
3 DisclosuresBroker
Thomas Pfeifer is a registered investment advisor at Raymond James & Associates, INC., based in Knoxville, TN, with 32 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
11400 Parkside Drive, Suite 200, Knoxville, TN, 37934
Get directionsHistory
Regulatory History (3)
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Customer Dispute
October 2009Settled
Customer Dispute
March 2009Closed-No Action
Employment Separation After Allegations
December 2001Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 5 mos
Previous Registrations
Morgan Keegan & Company, INC.
January 2004 - February 2013 · 9 yrs 1 mo
Morgan Keegan & Company, INC.Broker
December 2001 - February 2013 · 11 yrs 2 mos
Salomon Smith Barney INC.Broker
March 1998 - December 2001 · 3 yrs 9 mos
Prudential Securities IncorporatedBroker
April 1993 - March 1998 · 4 yrs 11 mos
State Registrations18 states
ALCACOFLGAINKYLAMSMTNCNYOHSCTNTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.