Scott C. Slagle
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.
Scott Craig Slagle was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2011 - December 31, 2018
PFS INVESTMENTS INC.
January 26, 1999 - February 5, 1999
INVESTORS SECURITY COMPANY, INC.
May 29, 1996 - January 28, 1997
INVESTORS SECURITY COMPANY, INC.
December 4, 1993 - June 2, 1994
INVESTORS SECURITY COMPANY, INC.
January 11, 1990 - December 19, 1991
INVESTORS SECURITY COMPANY, INC.
November 2, 1988 - February 16, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
September 17, 1988 - November 17, 1988
HERITAGE FINANCIAL INVESTMENTS CORPORATION
August 25, 1987 - May 23, 1988
CRICO SECURITIES CORPORATION
December 11, 1984 - September 11, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
December 11, 1984 - September 12, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
August 5, 1983 - June 15, 1984
ANDERSON & STRUDWICK, INCORPORATED
April 20, 1983 - July 18, 1983
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.
