Alethea V. Franklin
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.
Alethea Vermetta Franklin, who also goes by Alethea Vermetta Calloway, Althea Vermetta Calloway, was a registered financial professional .
Alethea is a previously registered financial professional and started their career in finance in 1986. Alethea had worked at 15 firms and has passed the 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
May 4, 2012 - October 10, 2018
PFS INVESTMENTS INC.
February 27, 2009 - May 10, 2010
MML INVESTORS SERVICES, LLC
September 5, 2008 - December 18, 2008
EQUITABLE ADVISORS, LLC
October 31, 2005 - October 10, 2006
OSAIC SERVICES, INC.
July 21, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
January 14, 2005 - July 21, 2005
MULTIPLE FINANCIAL SERVICES, INC.
January 11, 2005 - July 21, 2005
MULTIPLE FINANCIAL SERVICES, INC.
March 22, 2002 - July 24, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
June 27, 2001 - February 20, 2002
WMA SECURITIES, INC.
July 30, 1999 - October 2, 2000
SENTRA SECURITIES CORPORATION
March 7, 1996 - October 2, 1997
NATIONAL PLANNING CORPORATION
September 5, 1991 - April 14, 1994
WADDELL & REED
June 18, 1989 - December 31, 1989
SUNAMERICA SECURITIES, INC.
March 17, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
July 2, 1987 - November 20, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 2, 1987 - November 23, 1987
EQUITABLE ADVISORS, LLC
July 2, 1987 - October 24, 1990
AMERICAN EXPRESS FINANCIAL CORPORATION
April 23, 1986 - March 25, 1987
AMERIPRISE FINANCIAL SERVICES, 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.
