Nellie L. Bennetti
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.
Nellie Lois Bennetti, who also goes by Nellie Lois Bloom, Nellie Lois Bloom-bennetti, was a registered financial professional .
Nellie is a previously registered financial professional and started their career in finance in 1988. Nellie had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - September 22, 2015
PFS INVESTMENTS INC.
October 1, 2012 - February 5, 2013
J.P. MORGAN SECURITIES LLC
August 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 28, 2009 - August 2, 2012
MARTINEZ-AYME SECURITIES
September 6, 2006 - November 29, 2007
E*TRADE SECURITIES LLC
September 5, 2002 - August 28, 2006
MARTINEZ-AYME SECURITIES
April 18, 2001 - February 28, 2002
CANTONE RESEARCH INC.
November 18, 1994 - June 1, 1999
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 1994 - June 1, 1999
MSI FINANCIAL SERVICES, INC.
March 24, 1994 - October 31, 1994
BISHOP, ROSEN & CO., INC.
October 4, 1993 - March 24, 1994
INVESTORS ASSOCIATES, INC.
October 13, 1992 - November 30, 1993
AUGMENT SECURITIES INC.
February 26, 1992 - July 7, 1992
FAIRCHILD FINANCIAL GROUP, INC.
April 5, 1991 - March 3, 1992
NTB FINANCIAL CORPORATION
February 4, 1991 - March 1, 1991
BISHOP, ROSEN & CO., INC.
May 9, 1990 - November 26, 1990
ARGUS SECURITIES, INC.
February 23, 1990 - May 29, 1990
PCI FINANCIAL SERVICES, INC.
February 21, 1989 - January 10, 1990
DONALD & CO. SECURITIES INC.
November 23, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
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.
