Patrick D. Varricchio
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.
Patrick David Varricchio, who also goes by Patrick D Varricchio, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1991. Patrick had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 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
September 29, 2016 - March 2, 2017
PFS INVESTMENTS INC.
June 12, 2014 - July 22, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 16, 2013 - October 16, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 12, 2011 - August 19, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
January 25, 2010 - March 22, 2010
MML INVESTORS SERVICES, LLC
October 6, 2008 - December 3, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 15, 2008 - August 19, 2008
NYLIFE SECURITIES LLC
April 1, 2006 - May 30, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
November 13, 2002 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
October 23, 1999 - June 7, 2002
OSAIC WEALTH, INC.
June 11, 1998 - September 14, 1999
BISYS SHELF B/D (1), INC.
August 22, 1996 - February 9, 1998
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
November 20, 1995 - July 26, 1996
NATHAN & LEWIS SECURITIES, INC.
May 24, 1991 - July 6, 1994
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, 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.
