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Kevin Pfeffer

Osaic Institutions, Inc.

West Orange, NJ

CRD 6375410

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Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • SOLICITATION SERVICES FOR OTHER ADVISERS

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

Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-07-28
NY RA APPROVED 2025-07-25
  • NJ RA
    APPROVED
    Since 2025-07-28
  • NY RA
    APPROVED
    Since 2025-07-25

Branch Locations

300 Executive Dr Suite 350, West Orange, NJ 07052 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Royal Alliance West Orange NJ 08/2016 11/2016
Axa Distributors, Llc Jersey City NJ 12/2016 02/2019
Fef Distributors, Llc New York NY 03/2019 10/2022
First Eagle Investment Management, Llc New York NY 03/2019 10/2022
Ameriprise Financial Services, Llc Minneapolis MN 11/2022 03/2025
Ameriprise Financial Services, Llc West Orange NJ 03/2025 07/2025
Osaic Institutions, Inc. Meriden CT 07/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-01-30
S63 Uniform Securities Agent State Law Examination 2016-12-29
  • S65 Uniform Investment Adviser Law Examination
    2023-01-30
  • S63 Uniform Securities Agent State Law Examination
    2016-12-29
Designations
  • Certified Financial Planner
Other Names
  • Kevin Pfeffer
  • Kevin Chase Pfeffer

View on SEC IAPD

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