William J. Roberts
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.
William Jeffrey Roberts, who also goes by William Roberts, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2016 - December 31, 2018
PFS INVESTMENTS INC.
January 7, 2016 - December 31, 2018
PFS INVESTMENTS INC.
January 30, 2015 - January 4, 2016
STONEX ADVISORS INC.
September 12, 2014 - December 31, 2015
STONEX SECURITIES INC.
June 28, 2007 - January 30, 2015
WRP INVESTMENTS, INC.
June 28, 2007 - September 12, 2014
WRP INVESTMENTS, INC.
June 25, 2007 - June 27, 2007
KOVACK ADVISORS, INC.
June 25, 2007 - June 27, 2007
KOVACK SECURITIES INC.
May 31, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
May 30, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
December 16, 2003 - May 30, 2006
GREENWICH GLOBAL, LLC
December 11, 2003 - May 30, 2006
SOUND FINANCIAL ADVISORS
October 1, 1999 - December 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - December 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 25, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 8, 1992 - September 27, 1994
INVESTORS SECURITY COMPANY, INC.
August 11, 1983 - December 14, 1990
BRANCH, CABELL & CO., INC.
January 12, 1983 - August 11, 1983
ANDERSON & STRUDWICK, 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 8
Date: 11/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
