Penny B. Goldberg
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.
Penny B Goldberg, who also goes by Penny Beth Glaser, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1986. Penny had worked at 13 firms and has passed the Series 63 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
December 23, 2011 - March 20, 2012
PFS INVESTMENTS INC.
August 13, 2008 - December 31, 2009
PFS INVESTMENTS INC.
February 2, 2006 - May 31, 2006
GUNNALLEN FINANCIAL, INC
February 13, 2004 - May 24, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
March 26, 2003 - July 7, 2003
CONTINENTAL BROKER-DEALER CORP.
February 28, 2002 - May 3, 2002
MORGAN STANLEY DW INC.
October 13, 1992 - February 20, 2002
COMPREHENSIVE CAPITAL CORPORATION
October 15, 1990 - December 20, 1990
G. K. SCOTT & CO., INC.
August 7, 1990 - September 11, 1990
JW GENESIS CLEARING CORP.
November 14, 1989 - April 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 1989 - November 6, 1989
G. K. SCOTT & CO., INC.
May 2, 1989 - November 6, 1989
G. K. SCOTT & CO., INC.
February 13, 1989 - May 9, 1989
MORGAN STANLEY DW INC.
October 29, 1987 - February 14, 1989
G. K. SCOTT & CO., INC.
March 4, 1987 - November 3, 1987
THE STUART-JAMES COMPANY, INCORPORATED
December 16, 1986 - March 3, 1987
WELLSHIRE SECURITIES, INC.
September 24, 1986 - December 10, 1986
RLR SECURITIES GROUP, INC.
August 21, 1986 - September 17, 1986
BRADSTREET CAPITAL, 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.
