Michael G. Hiatt
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.
Michael Gary Hiatt, who also goes by Michael Hiatt, Michael G Hiatt, Michael Gary Hiatt, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2022 - July 30, 2025
PFS INVESTMENTS INC.
May 27, 2022 - July 30, 2025
PFS INVESTMENTS INC.
October 12, 2019 - August 14, 2020
ONEAMERICA SECURITIES, INC.
October 11, 2019 - August 14, 2020
ONEAMERICA SECURITIES, INC.
September 5, 2013 - December 31, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
September 5, 2013 - December 31, 2017
G.F. INVESTMENT SERVICES, LLC
June 9, 2010 - September 6, 2013
INVESTMENT ADVISORS CORP
May 27, 2010 - September 6, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
August 27, 2009 - June 2, 2010
LPL FINANCIAL LLC
November 30, 2006 - June 25, 2010
INDEPENDENT FINANCIAL PARTNERS
July 18, 2006 - November 28, 2006
MUTUAL SERVICE CORPORATION
July 17, 2006 - September 8, 2009
MUTUAL SERVICE CORPORATION
October 7, 2004 - July 20, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 17, 2004 - July 23, 2004
GUNNALLEN FINANCIAL, INC
June 15, 2004 - July 23, 2004
GUNNALLEN FINANCIAL, INC
March 9, 2004 - June 28, 2004
SYNERGY INVESTMENT GROUP, LLC
February 27, 2004 - June 28, 2004
SYNERGY INVESTMENT GROUP, LLC
September 6, 2003 - December 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2003 - December 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1994 - September 5, 2002
TD AMERITRADE, INC.
March 11, 1993 - August 6, 1993
ALLEN & COMPANY OF FLORIDA, LLC
June 1, 1992 - October 27, 1992
AMERIPRISE ADVISOR SERVICES, 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
Series 8
Date: 1/3/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
