Michael P. Oleary
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.
Michael Patrick Oleary, who also goes by Michael Patrick O'leary, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2011 - December 31, 2015
PFS INVESTMENTS INC.
February 10, 2010 - May 31, 2011
FORESTERS EQUITY SERVICES, INC.
January 16, 2007 - November 17, 2009
CORPORATE INVESTMENTS GROUP, INC.
June 1, 2005 - September 21, 2006
WADDELL & REED
February 16, 2005 - September 21, 2006
WADDELL & REED
January 27, 2004 - December 31, 2004
W&S BROKERAGE SERVICES, INC.
April 17, 2003 - December 31, 2003
PEREGRINE FINANCIALS & SECURITIES, INC.
October 11, 2002 - April 25, 2003
FORESTERS EQUITY SERVICES, INC.
February 10, 2000 - October 29, 2002
BIRKELBACH INVESTMENT SECURITIES, INC.
May 24, 1996 - February 9, 2000
CORPORATE INVESTMENTS GROUP, INC.
February 1, 1996 - May 14, 1996
EURO-ATLANTIC SECURITIES INC.
March 3, 1995 - December 5, 1995
DON ALEXANDER INVESTMENTS, INC.
January 14, 1995 - February 15, 1995
PAULSON INVESTMENT COMPANY LLC
July 28, 1992 - November 3, 1994
CAPITAL SECURITIES INVESTMENT CORPORATION
March 30, 1990 - May 28, 1991
CITISTREET EQUITIES LLC
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.
