Howard C. Silfen
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.
Howard Craig Silfen, who also goes by Howard C Silfen, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1983. Howard had worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 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
August 21, 2020 - October 8, 2020
PFS INVESTMENTS INC.
August 20, 2020 - December 31, 2020
PFS INVESTMENTS INC.
December 14, 2015 - September 10, 2018
EQUITABLE ADVISORS, LLC
December 11, 2015 - September 10, 2018
EQUITABLE ADVISORS, LLC
January 20, 2015 - October 16, 2015
TRANSCEND CAPITAL
October 29, 2013 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
October 21, 2013 - February 17, 2015
RIDGEWAY & CONGER, INC.
June 21, 2012 - July 2, 2013
OPPENHEIMER & CO. INC.
June 18, 2012 - July 2, 2013
OPPENHEIMER & CO. INC.
October 3, 2011 - June 15, 2012
MORGAN STANLEY
July 28, 2011 - June 15, 2012
MORGAN STANLEY
May 11, 2011 - July 20, 2011
DIMENSION TRADING GROUP, LLC
April 30, 2009 - March 22, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
September 9, 2004 - March 24, 2009
STANFORD GROUP COMPANY
August 6, 2004 - September 14, 2004
CARLIN EQUITIES, LLC
August 12, 2003 - April 5, 2004
PUGLISI & CO.
January 23, 2003 - March 28, 2003
HEARTLAND SECURITIES CORP.
June 25, 1998 - October 15, 2001
CANACCORD GENUITY LLC
March 2, 1998 - May 29, 1998
RBC CAPITAL MARKETS, LLC
August 29, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
February 22, 1991 - July 18, 1997
UBS CAPITAL MARKETS L.P.
May 10, 1989 - February 13, 1991
DEUTSCHE IXE, LLC
September 23, 1988 - May 11, 1989
OPPENHEIMER & CO. INC.
February 9, 1988 - July 15, 1988
CANTOR FITZGERALD & CO.
October 19, 1983 - February 18, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 55
Date: 11/22/1999
Limited Representative-Equity Trader ExamCurrent 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.
