KR
Katherine A. Romanelli
PFS INVESTMENTS
Bellerose, NY 11426
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CRD#: 1265772
KR
Professional summary
Katherine Anne Romanelli, who also goes by Kathy Anne Romanelli, Katherine A Romanelli, Katherine Anne Romanelli, is a registered financial professional currently at PFS INVESTMENTS INC. located in Bellerose, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1984. Katherine has worked at 11 firms and has passed the Series 63, SIE, Series 25, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathy Anne Romanelli | Katherine A Romanelli | Katherine Anne Romanelli
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Anne Romanelli's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2021 - Present
PFS INVESTMENTS INC.
Office #1: 251-73 Jericho Turnpike Ste 201-a, Bellerose, NY 11426RIA
BD
CRD#: 10111
Bellerose, NY
Past
August 9, 2018 - January 22, 2019
SANTANDER SECURITIES LLC
BD
CRD#: 41791
STATEN ISLAND, NY
Past
May 24, 2017 - July 26, 2018
PFS INVESTMENTS INC.
BD
CRD#: 10111
JACKSON HEIGHTS, NY
Past
May 11, 2015 - July 1, 2015
LEGEND SECURITIES, INC.
BD
CRD#: 44952
NEW YORK, NY
Past
September 16, 2013 - December 5, 2014
W.A. CAPITAL MARKETS
BD
CRD#: 6292
NEW YORK, NY
Past
January 10, 2012 - August 29, 2013
TEJAS SECURITIES GROUP, INC.
BD
CRD#: 36705
NEW YORK, NY
Past
June 7, 2006 - December 13, 2010
RUSHMORE CAPITAL, INC.
BD
CRD#: 5940
EDISON, NJ
Past
February 7, 2006 - May 3, 2011
DOMESTIC SECURITIES, INC.
BD
CRD#: 34721
EDISON, NJ
Past
April 11, 2005 - January 25, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
NEW YORK, NY
Past
June 10, 1997 - March 30, 2004
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
April 9, 1985 - May 29, 1997
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 20, 1984 - April 18, 1985
MCKINLEY ALLSOPP, INC.
BD
CRD#: 13098
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(1/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 3/10/2003
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 4/5/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1 Primerica Parkway, Duluth, GA 30099-0001
Mailing Address
1 Primerica Parkway, Duluth, GA 30099-0001
Phone number
(770) 381-1000
Established
Georgia since 07/07/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,762
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.
