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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

CHRISTOPHER WILSON PFEIFLE

Advisor at RBC CAPITAL MARKETS, LLC

INDIANAPOLIS, IN | Greenwood, IN

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Search this name across graphsid dfx:ria:496d7129-68fd-3e65-eaf3-30de31dad14c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 27, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 27, 1995
First registration: Mar 10, 2005
Dual registered: yes, broker-dealer
Other names: CHRIS PFEIFLE
IAPD individual key: 2148141

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 2, 2013	n/a	yes	INDIANAPOLIS, IN\|Greenwood, IN	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	Dec 10, 2013	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Nov 3, 2006	Feb 13, 2013	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Mar 10, 2005	Nov 17, 2006	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	RBC CAPITAL MARKETS, LLC	Dec 10, 2013	Dec 2, 2013	-8	Firm change	Ibd to ibd
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
FIFTH THIRD SECURITIES, INC.	MORGAN KEEGAN & COMPANY, LLC	Nov 17, 2006	Nov 3, 2006	-14	Firm change	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Dec 2, 2013 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to Dec 10, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Nov 3, 2006 to Feb 13, 2013factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Mar 10, 2005 to Nov 17, 2006factForm ADV

Dated events

No dated event names this entity yet.