John William Pfaudler

Employer firm

Rfg Advisory, LLC CRD 158401

$7.97B regulatory AUM 12 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• 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

• 10/2009 → 12/2016
  Ameriprise Financial Services, Inc.
  Birmingham, AL
• 12/2016 → 06/2018
  Lpl Financial Llc
  Vestavia Hills, AL
• 12/2016 → Present
  Rfg Advisory
  Vestavia Hills, AL
• 06/2018 → Present
  Private Client Services
  Birmingham, AL

Previous Registrations

• 2009-10-05 → 2016-12-07
  Ameriprise Financial Services, Llc
  Birmingham, AL
  Birmingham, AL
• 2003-09-29 → 2009-10-05
  Ameriprise Advisor Services, Inc.
  Birmingham, AL
  Prattville, AL
  Birmingham, AL

Other Businesses

1) 12/08/2016. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. ADVISORY ACTIVITIES AND PCS ACTIVITES. IAR. 160 HOURS/MO; 6.5 DURING TRADING HOURS. 2) 12/02/2016. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. DBA FOR PCS BUSINESS. REGISTERED REPRESENTATIVE. 7 HOURS/MO; 6.5 DURING TRADING HOURS. 3) PETDROP LLC. 1403 BRANCHWATER CIRCLE, VESTAVIA, AL 35216. TO FORM A BUSINESS INSURANCE GROUP. EMPLOYEE- PAY FOR MY INSURANCE ON A MONTHLY BASIS. 1 HOUR/MO; 0 DURING TRADING HOURS. 4) NAME OF BUSINESS: LHP CAPITAL LLC. INVESTMENT-RELATED: YES, REAL ESTATE. ADDRESS: 1305 BRANCHWATER LANE, VESTAVIA, AL 35216. NATURE OF BUSINESS: COMMERCIAL REAL ESTATE. POSITION/TITLE: MEMBER/CO-OWNER OF LLC. START: 05/24/2021. HOURS DEVOTED TO OTHER BUSINESS: 2 HOURS/MONTH DEVOTED OUTSIDE SECURITIES TRADING HOURS. DUTIES: CO-OWNER, ASSIST WITH BUYING AND MANAGING COMMERCIAL REAL ESTATE PROPERTY.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-06-13
• S63 Uniform Securities Agent State Law Examination
  1999-03-08