Michael Matthew Pfenninger

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2018 → 03/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
• 08/2014 → 05/2018
  Manhattan College
  Bronx, NY
• 06/2017 → 08/2017
  Massmutual
  Bridgewater, NJ
• 03/2019 → 06/2021
  Mass Mutual Life Insurance Co
  Warren, NJ
• 04/2019 → 06/2021
  Mml Investors Services, Llc
  Warren, NJ
• 06/2021 → 08/2025
  M Holdings Securities
  Morristown, NJ
• 08/2025 → Present
  Raymond James Financial Services, Inc.
  Morristown, NJ

Previous Registrations

• 2021-06-16 → 2025-08-11
  M Holdings Securities, Inc.
  Portland, OR
  Morristown, NJ
• 2019-05-30 → 2021-06-08
  Mml Investors Services, Llc
  Warren, NJ
• 2018-10-15 → 2019-04-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
  Pennington, NJ

Other Businesses

(1)Name of Business: Eagle Rock Wealth Management Address: 67 E Park Pl Ste 750, Morristown, NJ, 07960-7103, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor (2)Name of Business: Greenberg and Rapp Financial Group Address: 67 E Park Pl Ste 750, Morristown, NJ, 07960-7103, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 06/01/2021 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Non-Variable Insurance Sales (3)Name of Business: Greenberg and Rapp Financial Group Address: 67 E Park Pl Ste 750, Morristown, NJ, 07960-7103, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

• S66 Uniform Combined State Law Examination
  2018-10-06

Other Names

• Michael Pfenninger