PFS INVESTMENTS INC. of DULUTH, GA is an SEC-registered investment adviser (CRD 10111). Regulatory assets under management: $15.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Nicholas Adam Jendusa | EXECUTIVE VICE PRESIDENT | — |
| Daniel Aaron Woodring | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| William James Nemetz | DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | — |
| Karen Lynn Sukin | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | — |
| Deborah Lynn Miller | EXECUTIVE VICE PRESIDENT | — |
| Lori Allison Rivet | EXECUTIVE VICE PRESIDENT | — |
| Brian Steven Weigle | DIRECTOR AND EXECUTIVE VICE PRESIDENT | — |
| Michael Kurt Wells | EXECUTIVE VICE PRESIDENT & TREASURER; TREASURER | — |
| Paul Etienne Regard | PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| Dasia Deborah Coley | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Michael Thomas Lesutis | SENIOR VICE PRESIDENT | — |
| TAYLOR PHILIP ALEXANDER | ASSISTANT SECRETARY | — |
| MITCHELL WENDY JO | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT AND SECRETARY | — |
| REGARD PAUL ETIENNE | PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER; SENIOR VICE PRESIDENT | — |
| SIEGEL DAVID HOWARD | DIRECTOR AND PRESIDENT; DIRECTOR, EXECUTIVE VICE PRESIDENT-MARKETING | — |
| KELLY WILLIAM ADDAMS | DIRECTOR AND CHIEF EXECUTIVE OFFICER; DIRECTOR AND CHIEF EXECUTIVE OFFICER & PRESIDENT; EXECUTIVE VICE PRESIDENT | — |
| RAND ALISON SUE | EXECUTIVE VICE PRESIDENT | — |
| WATTS JOHN SIMMERMAN III | SENIOR VICE PRESIDENT AND CHIEF COUNSEL | — |
| BARNHILL JIMMIE BUCHANAN JR | VICE PRESIDENT, TREASURER, AND CHIEF FINANCIAL OFFICER | — |
| MITCHELL CYNTHIA KYLE | DIRECTOR; EXECUTIVE VICE PRESIDENT-OPERATIONS | — |
| WOODRING DANIEL AARON | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| MILLER MONTE LYNN | EXECUTIVE VICE PRESIDENT | — |
| GRUBENHOFF SHARON KING | SENIOR VICE PRESIDENT, TREASURER, AND CHIEF FINANCIAL OFFICER | — |
| VACANTE LISA MARIE | EXECUTIVE VICE PRESIDENT | — |
| GINN ALEXIS | EXECUTIVE VICE PRESIDENT | — |
Showing 10 of 12 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-14 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS AND FEE REBATES TO WHICH CUSTOMERS WERE ENTITLED THROUGH RIGHTS OF RE… | Final | — |
| 2024-08-22 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, REYES CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE CERTIFIED TO THE STATE OF NEW YORK THAT HE HAD PERSONALLY COMPLETED 15 HOURS OF CONTINUING EDUCATION REQUIRED TO RENEW HIS STATE INSURANCE LICENSE WHEN, IN FACT, ANOTHER PERSON HAD COMPLE… | Final | $5K |
| 2024-07-12 | regulatory | IT WAS ALLEGED THAT PFS INVESTMENTS INC. FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES REQUIRING CERTAIN REPRESENTATIVES TO PROVIDE WRITTEN DISCLOSURE OF THEIR OUTSIDE BUSINESS ACTIVITIES, IN VIOLATION OF FINRA RULES 3270, 3110 AND 2010. | Final | $60K |
| 2023-08-07 | regulatory | THE MAINE OFFICE OF SECURITIES ISSUED A CONSENT AGREEMENT TO PFS INVESTMENTS INC. ("PFSI" OR THE "FIRM") FOR FAILURE TO COMPLY WITH AN ORDER REGARDING THE RESUMPTION OF ON-SITE BROKER-DEALER INSPECTIONS OF BRANCH OFFICES IN MAINE. | Final | $3K |
| 2023-03-20 | regulatory | IT IS ALLEGED THAT PFS INVESTMENTS INC. FAILED TO SUBMIT TO THE OCIF THE "RED FLAGS REPORT", "REPORT OF CONDITION", "INCOME STATEMENT", AND "PUERTO RICO SECURITIES BUREAU QUARTERLY REPORT" FOR THE CALENDAR YEAR 2022 AND THUS VIOLATED THE PROVISIONS OF ACT NO. 4, ACT NO. 60, CIF CC-09-02 AND CIF CC-2… | Pending | — |
| 2019-11-26 | regulatory | IT WAS ALLEGED THAT THE APPLICANT ALLOWED BRANCH MANAGERS (OF OFFICES LOCATED OUTSIDE OF MASSACHUSETTS) WHO WERE NOT THEMSELVES REGISTERED IN MASSACHUSETTS TO SUPERVISE PFS AGENTS TRANSACTING SECURITIES BUSINESS WITH MASSACHUSETTS RESIDENTS, IN VIOLATION OF THE MASSACHUSETTS SECURITIES ACT. | Final | $75K |
| 2013-12-24 | regulatory | FAILURE TO APPEAR AT SCHEDULED DOMESTIC RELATIONS PROCEEDINGS. | Final | — |
| 2013-06-28 | regulatory | PFSI ACCEPTED A REGISTERED REPRESENTATIVE'S CHARACTERIZATION OF HIS ROLE WITH A COMPANY AS A PASSIVE INVESTMENT WHEN IT HAD EVOLVED OVER TIME. PFSI DID NOT HAVE A PROCEDURE REQUIRING ITS REPRESENTATIVES TO DISCLOSE TO THE FIRM COMPENSATION RECEIVED FROM OUTSIDE MOTIVATIONAL SPEAKERS IN CONNECTION WI… | Final | $9K |
| 2012-06-28 | regulatory | PFSI ACCEPTED A REGISTERED REPRESENTATIVE'S CHARACTERIZATION OF HIS ROLE WITH A COMPANY AS A PASSIVE INVESTMENT WHEN IT HAD EVOLVED OVER TIME. PFSI DID NOT HAVE A PROCEDURE REQUIRING ITS REPRESENTATIVES TO DISCLOSE TO THE FIRM COMPENSATION RECEIVED FROM OUTSIDE MOTIVATIONAL SPEAKERS IN CONNECTION WI… | Final | $9K |
| 2005-01-06 | regulatory | THE ACTS AND OMISSIONS CONSTITUTE MISREPRESENTATION OF MATERIAL FACTS AND FRAUD AND DISHONEST DEALING. FAILURE TO EXERCIESE REASONABLE SUPERVISON | Final | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| BURBANK | CA | 19 | 818-841-0992 |
| MAUMEE | OH | 19 | 419-865-0608 |
| MADISON | WI | 19 | 608-442-9594 |
| LA CROSSE | WI | 17 | 6087857676 |
| BETHEL | CT | 16 | 2037407563 |
| HIAWATHA | IA | 15 | 319-832-1104 |
| FINDLAY | OH | 15 | 419-581-0802 |
| SALINAS | CA | 14 | 8314220130 |
| CLIFTON PARK | NY | 13 | 5189520077 |
| METAIRIE | LA | 13 | 504-454-0153 |
| WEST CHESTER | OH | 12 | (513) 771-2270 |
| GILBERT | AZ | 12 | 4808885769 |
| CUMMING | GA | 11 | 6784171490 |
| MILAN | OH | 11 | (216) 252-6371 |
| PHOENIX | AZ | 11 | 602-867-7993 |