Lisa K. Paris
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.
Lisa Kay Paris, who also goes by Lisa Kay Hall, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1988. Lisa had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2011 - September 30, 2020
PFS INVESTMENTS INC.
December 15, 2010 - September 30, 2020
PFS INVESTMENTS INC.
February 14, 2005 - October 8, 2010
FIFTH THIRD SECURITIES, INC.
September 16, 2004 - October 8, 2010
FIFTH THIRD SECURITIES, INC.
November 25, 2002 - August 17, 2004
UMB FINANCIAL SERVICES, INC.
November 13, 2000 - August 17, 2004
UMB FINANCIAL SERVICES, INC.
August 30, 1999 - April 13, 2000
NYLIFE SECURITIES LLC
April 17, 1998 - July 31, 1999
UMB FINANCIAL SERVICES, INC.
February 13, 1995 - March 13, 1998
THE HUNTINGTON INVESTMENT COMPANY
July 29, 1994 - February 16, 1995
FIMCO SECURITIES GROUP, INC.
October 26, 1992 - June 30, 1994
THE HUNTINGTON INVESTMENT COMPANY
September 19, 1991 - October 26, 1992
W&S BROKERAGE SERVICES, INC.
September 20, 1988 - March 1, 1991
KEYBANC CAPITAL 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.
