John Pfaffmann has been an investment adviser representative at Petra Financial Advisors since April 2023, and is not listed among the firm’s executive officers or direct owners.
Petra Financial Advisors Inc is a Colorado Springs, CO firm with $447M under management, 378 clients and 7 advisers across 3 offices, as of its March 2026 filing.
John Pfaffmann is Financial Planner of Petra Financial Advisors. He has more than three decades of experience in financial and estate planning and creates personalized financial roadmaps tailored to each client's needs. He is a former Board member of the Central Arizona Estate Planning Council and previously served as an electronic communications specialist in the U.S. Navy.
John Pfaffmann’s longest registration is the current one, 23 years at Rubicon Financial Network since 2003. Before joining Petra Financial Advisors in 2023, John Pfaffmann was registered through First Allied Advisory Services, Inc. and First Allied Securities, Inc.
- Petra Financial Advisors IncCurrent– present · 3 yearsTempe, AZ · Adviser representative · Firm CRD 107196
- First Allied Advisory Services, Inc.– · 5 yearsTempe, AZ · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 6 yearsTempe, AZ · Adviser representative · Firm CRD 32444
- Rubicon Financial NetworkAlso current– present · 23 yearsTempe, AZ · Adviser representative · Firm CRD 113980
Professional designations
Listed by Petra Financial Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Kingdom Advisor (CKA®)
Investment adviser representative registrations
John Pfaffmann is registered as an investment adviser representative in Arizona, since June 2003.
- ArizonaSince 24 June 2003
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 1 March 2003 |
| Series 24 | General Securities Principal Examination | 17 September 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 February 1998 |
| Series 7 | General Securities Representative Examination | 13 May 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 July 1990 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 10 July 1990 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Peter Pfaffmann
- CRD
- 2060427
- Firm
- Petra Financial Advisors · CRD 107196
- Office
- 2181 E. Warner Rd, Suite 101, Tempe, AZ 85284
- Registration
- Investment adviser registration
- In the industry since
- July 1990
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- petrafinancial.com
Where does John Pfaffmann work?
John Pfaffmann is an investment adviser representative registered through Petra Financial Advisors Inc since April 2023, and is not listed among the firm’s executive officers or direct owners.
Is John Pfaffmann a financial advisor?
Yes. John Pfaffmann has a current investment-adviser registration in Arizona, through Petra Financial Advisors since April 2023.
How many years of experience does John Pfaffmann have?
John Pfaffmann has 36 years in the financial industry, since July 1990, across 4 adviser firms.
What exams has John Pfaffmann passed?
John Pfaffmann has passed 6 licensing exams: the Series 63, Series 6, Series 7, Series 65, Series 24 and Series 51. The earliest, the Series 63, was passed in July 1990. FINRA credited John Pfaffmann with the SIE, which began in October 2018.
Where did John Pfaffmann work before Petra Financial Advisors?
Before Petra Financial Advisors, John Pfaffmann was registered through First Allied Advisory Services, Inc., April 2012 to July 2017; First Allied Securities, Inc., June 2006 to July 2012.
Where is John Pfaffmann based?
John Pfaffmann’s registered office is in Tempe, AZ.
Is John Pfaffmann registered with FINRA?
No. John Pfaffmann has no current broker registration.
Is John Pfaffmann a CFP?
Petra Financial Advisors lists John Pfaffmann with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify John Pfaffmann’s record?
Search CRD 2060427 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Pfaffmann’s full registration record.
