Barry Hochstein
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.
Barry Hochstein was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1988. Barry had worked at 16 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - December 31, 2015
PFS INVESTMENTS INC.
June 26, 2008 - March 12, 2009
NEWBRIDGE SECURITIES CORPORATION
October 18, 2007 - April 1, 2008
GLOBAL CROWN CAPITAL, LLC
June 19, 2007 - November 13, 2007
LEGEND MERCHANT GROUP, INC.
April 24, 2007 - July 2, 2007
REDWOOD SECURITIES GROUP, INC.
January 13, 2006 - February 26, 2007
M.L. STERN & CO., LLC.
January 13, 2006 - February 26, 2007
M.L. STERN & CO., LLC.
August 29, 2005 - November 4, 2005
CANTELLA & CO., INC.
April 6, 2004 - July 1, 2005
A. G. EDWARDS & SONS, INC.
March 11, 2004 - July 1, 2005
A. G. EDWARDS & SONS, INC.
November 5, 2003 - March 10, 2004
PREFERREDTRADE, INC.
February 9, 2001 - January 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 10, 1999 - February 16, 2001
WEDBUSH SECURITIES INC.
June 4, 1998 - September 21, 1999
ROTH CAPITAL PARTNERS, LLC
January 15, 1997 - May 15, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1996 - January 29, 1997
ROTH CAPITAL PARTNERS, LLC
June 6, 1990 - May 6, 1996
J.P. MORGAN SECURITIES LLC
October 2, 1989 - April 16, 1990
LEHMAN BROTHERS INC.
September 20, 1988 - October 9, 1989
CITIGROUP GLOBAL MARKETS 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.
