Scott C. Miller
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.
Scott C Miller, who also goes by Scott C. Miller, Scott Miller, Scott C Miller, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 12 firms and has passed the Series 65, 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
January 3, 2024 - April 24, 2024
PFS INVESTMENTS INC.
November 20, 2023 - April 24, 2024
PFS INVESTMENTS INC.
February 23, 2017 - December 31, 2019
EQUITY SERVICES, INC.
February 23, 2017 - December 31, 2019
EQUITY SERVICES, INC.
November 10, 2014 - March 13, 2015
THE O.N. EQUITY SALES COMPANY
November 6, 2014 - March 13, 2015
ON INVESTMENT MANAGEMENT CO
November 26, 2013 - January 7, 2014
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 5, 2003 - December 16, 2013
TRANSAMERICA INVESTORS SECURITIES, LLC
December 7, 1999 - November 5, 2003
CHARLES SCHWAB & CO., INC.
April 16, 1997 - October 25, 1999
PLANNED INVESTMENT CO., INC.
March 29, 1993 - April 28, 1997
TRAUB AND COMPANY, INC.
February 6, 1987 - March 12, 1993
ROBERT W. BAIRD & CO. INCORPORATED
September 18, 1985 - March 12, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 16, 1985 - July 16, 1985
PRUCO SECURITIES, 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.
