Ronald A. Haimowitz
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.
Ronald Alan Haimowitz, who also goes by Ron Haimowitz, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 12 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2019 - December 31, 2021
PFS INVESTMENTS INC.
January 2, 2019 - January 16, 2019
PFS INVESTMENTS INC.
December 13, 2018 - December 31, 2021
PFS INVESTMENTS INC.
January 16, 2016 - January 26, 2017
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 26, 2007 - January 26, 2017
PRINCIPAL ASSET MANAGEMENT
February 8, 2007 - October 2, 2007
PRINCIPAL SECURITIES, INC.
December 19, 2006 - April 5, 2016
PRINCIPAL SECURITIES, INC.
May 2, 2006 - November 1, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 31, 2000 - November 1, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 12, 1997 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
November 21, 1994 - August 12, 1997
VOYAGEUR INVESTMENTS, INC.
March 29, 1994 - February 3, 1995
OSAIC WEALTH, INC.
July 7, 1992 - November 8, 1994
COREBRIDGE CAPITAL SERVICES, INC.
March 13, 1990 - June 27, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 1987 - March 14, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 25, 1984 - July 24, 1987
MORGAN STANLEY DW 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
Series 72
Date: 1/2/2023
Government Securities Representative 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.
