NICOLE MARIE PFEIFFER

NICOLE MARIE PFEIFFER is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 441 N. ESTRELLA PKWY, GOODYEAR, AZ, 85338.

NICOLE MARIE PFEIFFER has worked at J.P. MORGAN SECURITIES LLC since October 01, 2012

Disclosure History

NICOLE MARIE PFEIFFER has 2 Disclosure Event(s).

Date: June 25, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION REGARDING MANAGED ACCOUNT INVESTMENT. ACTIVITY DATES 04/01/2013-05/30/2013.
Damage Amount Requested: $5,000.00

Date: July 05, 2011
Category: Financial
Type: Bankruptcy
Disposition: Discharged

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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