Katherine A. Romanelli
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.
Katherine Anne Romanelli, who also goes by Kathy Anne Romanelli, Katherine A Romanelli, Katherine Anne Romanelli, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1984. Katherine had worked at 11 firms and has passed the Series 63, SIE, Series 25, Series 55 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
January 6, 2021 - December 31, 2025
PFS INVESTMENTS INC.
August 9, 2018 - January 22, 2019
SANTANDER SECURITIES LLC
May 24, 2017 - July 26, 2018
PFS INVESTMENTS INC.
May 11, 2015 - July 1, 2015
LEGEND SECURITIES, INC.
September 16, 2013 - December 5, 2014
W.A. CAPITAL MARKETS
January 10, 2012 - August 29, 2013
TEJAS SECURITIES GROUP, INC.
June 7, 2006 - December 13, 2010
RUSHMORE CAPITAL, INC.
February 7, 2006 - May 3, 2011
DOMESTIC SECURITIES, INC.
April 11, 2005 - January 25, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
June 10, 1997 - March 30, 2004
LEHMAN BROTHERS INC.
April 9, 1985 - May 29, 1997
MORGAN STANLEY & CO. LLC
June 20, 1984 - April 18, 1985
MCKINLEY ALLSOPP, 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 25
Date: 3/10/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 4/5/1999
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 |
|---|---|---|
| 01/14/2026 | ||
| 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.
