Louis Cascio
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.
Louis Cascio, who also goes by Louis Joseph Cascio, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1982. Louis had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - April 4, 2018
PFS INVESTMENTS INC.
January 30, 2012 - April 4, 2018
PFS INVESTMENTS INC.
February 22, 2011 - December 6, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
January 20, 2010 - December 5, 2011
WORLD GROUP SECURITIES, INC.
August 15, 2007 - December 1, 2009
PFS INVESTMENTS INC.
April 2, 2004 - August 11, 2005
WORLD GROUP SECURITIES, INC.
March 5, 2002 - September 22, 2003
BENSON YORK GROUP, INC.
April 4, 1997 - June 14, 2000
AVANTAX INVESTMENT SERVICES, INC.
October 18, 1996 - April 7, 1997
PFS INVESTMENTS INC.
August 17, 1994 - December 16, 1994
HFC CAPITAL CORP.
December 4, 1992 - October 14, 1994
LEGEND MERCHANT GROUP, INC.
September 8, 1992 - October 16, 1992
ROBERT TODD FINANCIAL CORP.
June 5, 1992 - August 27, 1992
HANOVER, STERLING & COMPANY LTD.
February 1, 1989 - July 16, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 1, 1989 - July 16, 1991
PRUCO SECURITIES, LLC.
July 26, 1983 - December 27, 1983
NORBAY SECURITIES INC.
June 21, 1982 - September 24, 1982
FORESTERS FINANCIAL SERVICES, INC.
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
Current 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.
