Patrick M. Fay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Michael Fay, who also goes by Patrick Fay, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1981. Patrick had worked at 12 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 3, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2025 - November 10, 2025
PFS INVESTMENTS INC.
January 3, 2025 - March 25, 2025
BANKERS LIFE SECURITIES, INC.
September 17, 2008 - January 21, 2021
MIZUHO SECURITIES USA LLC
February 28, 2007 - September 24, 2008
LEHMAN BROTHERS INC.
May 25, 2006 - December 19, 2006
HSBC SECURITIES (USA) INC.
September 24, 1996 - May 17, 2006
ABN AMRO INCORPORATED
October 12, 1990 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
October 12, 1990 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
October 12, 1990 - August 30, 1996
LEHMAN BROTHERS INC.
March 29, 1990 - October 30, 1990
CITIGROUP GLOBAL MARKETS INC.
January 28, 1985 - April 27, 1989
CREDIT SUISSE SECURITIES (USA) LLC
December 21, 1983 - February 8, 1985
MORGAN STANLEY & CO. LLC
November 27, 1981 - July 14, 1983
BECKER PARIBAS INCORPORATED
Primary Firm SEC Registration
PFS INVESTMENTS INC.
CRD#: 10111 / SEC#: 801-72263, 8-26486
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/27/2024
General Securities Representative ExaminationSeries 79TO
Date: 4/27/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 4/27/2024
Operations Professional ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
PFS INVESTMENTS INC.
CRD#: 10111 / SEC#: 801-72263, 8-26486
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMERICA FINANCE CORPORATION | DIRECT OWNER | |
| COLEY, DASIA DEBORAH | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 6760291 |
| JENDUSA, NICHOLAS ADAM | EXECUTIVE VICE PRESIDENT | 6037365 |
| LESUTIS, MICHAEL | SENIOR VICE PRESIDENT & CHIEF COUNSEL | 4751250 |
| MILLER, DEBORAH LYNN | EXECUTIVE VICE PRESIDENT | 3036949 |
| NEMETZ, WILLIAM JAMES | DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 4589878 |
| REGARD, PAUL ETIENNE | PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER | 2448671 |
| RIVET, LORI ALLISON | EXECUTIVE VICE PRESIDENT | 4496273 |
| SUKIN, KAREN LYNN | EXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL | 6292138 |
| WEIGLE, BRIAN STEVEN | DIRECTOR AND EXECUTIVE VICE PRESIDENT | 4131816 |
| WELLS, MICHAEL KURT | EXECUTIVE VICE PRESIDENT & TREASURER | 5999501 |
| WOODRING, DANIEL AARON | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4028705 |
Regulatory assets under management
| Total Number of Accounts | 70,434 |
| AUM (Assets Under Management) | $ 11,156,017,804 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 2 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
