Len C. Richardson
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.
Len Cecil Richardson was a registered financial professional .
Len is a previously registered financial professional and started their career in finance in 1984. Len had worked at 14 firms and has passed the Series 65, Series 63, 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
March 8, 2018 - December 31, 2019
PFS INVESTMENTS INC.
November 10, 2017 - December 31, 2019
PFS INVESTMENTS INC.
September 23, 2013 - September 1, 2015
CENTER STREET SECURITIES, INC.
November 13, 2009 - September 29, 2011
MIDAMERICA FINANCIAL SERVICES, INC.
October 9, 2006 - November 16, 2007
JESUP & LAMONT ADVISORS
September 28, 2006 - November 16, 2007
EMPIRE FINANCIAL GROUP, INC.
March 23, 2004 - October 8, 2004
STATE FARM VP MANAGEMENT CORP.
May 24, 2002 - May 20, 2003
NATIONWIDE SECURITIES, LLC
June 15, 2001 - May 20, 2002
HIGH MARK SECURITIES, INC.
February 7, 2000 - June 26, 2001
ALLEN DOUGLAS SECURITIES, INC.
February 19, 1998 - December 31, 1999
LEGACY FINANCIAL SERVICES, INC.
March 30, 1992 - December 31, 1997
PFS INVESTMENTS INC.
May 1, 1990 - November 26, 1990
LASALLE ST SECURITIES, L.L.C.
November 27, 1989 - March 17, 1990
LASALLE ST SECURITIES, L.L.C.
October 14, 1987 - January 12, 1988
FIRST AFFILIATED SECURITIES, INC.
December 10, 1984 - November 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1984 - December 4, 1984
BLINDER, ROBINSON & CO., 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.
