Wainwright M. Messam
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.
Wainwright M Messam, who also goes by Wainwright M Messam, Wainwright Mcdonald Messam, was a registered financial professional .
Wainwright is a previously registered financial professional and started their career in finance in 1998. Wainwright had worked at 15 firms and has passed the Series 63, Series 7TO, 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
October 5, 2018 - June 1, 2021
PFS INVESTMENTS INC.
October 20, 2008 - December 8, 2015
J.H. DARBIE & CO., INC.
October 3, 2007 - October 8, 2008
VFINANCE INVESTMENTS, INC
May 2, 2006 - September 17, 2007
WALLSTREET*E FINANCIAL SERVICES, INC.
October 10, 2002 - May 5, 2006
GUNNALLEN FINANCIAL, INC
August 27, 2002 - October 16, 2002
PARK CAPITAL SECURITIES, LLC
May 23, 2002 - January 27, 2003
PLATINUM INVESTMENT CORP.
March 12, 2002 - June 5, 2002
SALOMON GREY FINANCIAL CORPORATION
October 17, 2001 - March 27, 2002
DELTA ASSET MANAGEMENT COMPANY, LLC
March 26, 2001 - October 15, 2001
LH ROSS & COMPANY, INC.
November 16, 2000 - February 1, 2001
BISHOP, ROSEN & CO., INC.
January 19, 2000 - November 16, 2000
NATIONAL CLEARING CORP.
January 10, 2000 - January 19, 2000
GKN SECURITIES CORP.
October 12, 1999 - December 23, 1999
J.W. BARCLAY & CO., INC.
November 23, 1998 - October 14, 1999
SOLID ISG CAPITAL MARKETS, 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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent 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.
