Thomas F. Scuccimarra
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.
Thomas Francis Scuccimarra was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2023 - June 10, 2025
PFS INVESTMENTS INC.
September 19, 2022 - June 10, 2025
PFS INVESTMENTS INC.
April 19, 2018 - October 12, 2020
CORECAP INVESTMENTS, LLC
April 11, 2018 - October 12, 2020
CORECAP ADVISORS
April 19, 2016 - April 5, 2018
CORECAP INVESTMENTS, LLC
June 19, 2014 - April 14, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 17, 2008 - July 2, 2012
GE INVESTMENT DISTRIBUTORS, INC
October 9, 2007 - March 13, 2008
WYNSTON HILL CAPITAL, LLC
January 27, 2005 - November 14, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 10, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
November 13, 1995 - January 6, 2005
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 5, 1994 - September 28, 1995
WOOD LOGAN DISTRIBUTORS, INC.
June 9, 1993 - November 1, 1994
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 23, 1991 - April 29, 1993
UBS FINANCIAL SERVICES INC.
December 13, 1990 - January 1, 1992
FERRIS, BAKER WATTS, 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
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.
