Rosaura Olguin
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.
Rosaura Olguin, who also goes by Rosie Olguin, Rosaura Olguin Zurita, Rosaura Zurita, was a registered financial professional .
Rosaura is a previously registered financial professional and started their career in finance in 1991. Rosaura had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2016 - February 18, 2016
PFS INVESTMENTS INC.
March 19, 2015 - December 31, 2015
PFS INVESTMENTS INC.
March 15, 2012 - December 31, 2012
PFS INVESTMENTS INC.
February 27, 2012 - August 23, 2012
PFS INVESTMENTS INC.
February 19, 2009 - March 1, 2010
U.S. BANCORP INVESTMENTS, INC.
February 19, 2009 - March 1, 2010
U.S. BANCORP INVESTMENTS, INC.
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
March 4, 2008 - March 6, 2009
LPL FINANCIAL LLC
August 2, 2007 - March 4, 2008
IFMG SECURITIES, INC.
August 1, 2007 - March 4, 2008
IFMG SECURITIES, INC.
February 15, 2006 - August 9, 2007
DFC INVESTOR SERVICES
February 9, 2006 - August 9, 2007
DFC INVESTOR SERVICES
August 6, 2003 - February 8, 2005
INVEST FINANCIAL CORPORATION
January 2, 2003 - February 8, 2005
INVEST FINANCIAL CORPORATION
April 26, 2000 - December 31, 2002
NATIONAL PLANNING CORPORATION
April 6, 2000 - May 2, 2000
GATEWAY INVESTMENT SERVICES, INC.
July 11, 1996 - April 4, 2000
GATEWAY INVESTMENT SERVICES, INC.
January 24, 1991 - September 6, 1995
INVEST FINANCIAL 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.
