James S. Gandolfo
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.
James Salvatore Gandolfo, who also goes by Jim Gandolfo, Jimmy Gandolfo, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
September 28, 2021 - December 31, 2023
PFS INVESTMENTS INC.
July 19, 2012 - December 24, 2020
PNC CAPITAL MARKETS LLC
July 12, 2007 - October 1, 2007
PERSIMMON SECURITIES, INC.
January 30, 2006 - August 30, 2010
FORESIDE FUNDS DISTRIBUTORS LLC
June 21, 1999 - June 8, 2005
WILMINGTON BROKERAGE SERVICES COMPANY
September 15, 1998 - May 5, 1999
RODNEY SQUARE DISTRIBUTORS, INC.
October 4, 1993 - June 8, 2005
WILMINGTON BROKERAGE SERVICES COMPANY
April 3, 1993 - September 29, 1993
INDEPENDENT FINANCIAL SECURITIES, INC.
November 5, 1990 - March 15, 1993
COMPULIFE INVESTOR SERVICES, INC.
June 27, 1988 - February 10, 1990
LEGG MASON WOOD WALKER, INCORPORATED
March 1, 1988 - May 23, 1988
HARVEST SECURITIES, INC.
November 3, 1987 - December 2, 1987
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
January 3, 1986 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
March 19, 1985 - January 14, 1986
BUTCHER & SINGER INC.
October 24, 1984 - January 28, 1985
SIGNATOR INVESTORS, 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
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.
