Richard A. Morelli
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.
Richard Anthony Morelli, who also goes by Ricky Morelli, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2012 - June 4, 2012
PFS INVESTMENTS INC.
September 24, 2009 - December 3, 2009
GRANT WILLIAMS L.P.
September 24, 2009 - December 3, 2009
GRANT WILLIAMS L.P.
January 5, 2009 - June 25, 2009
NIEMANN CAPITAL MANAGEMENT INC
October 2, 2007 - January 7, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 28, 2007 - January 7, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 26, 2006 - March 14, 2007
EULAV SECURITIES, INC.
June 2, 2006 - September 5, 2006
IC ADVISORY SERVICES, INC.
November 17, 2005 - June 2, 2006
THE INVESTMENT CENTER, INC.
November 17, 2005 - September 5, 2006
THE INVESTMENT CENTER, INC.
April 5, 2004 - April 19, 2005
CITIGROUP GLOBAL MARKETS INC.
March 19, 2004 - April 19, 2005
CITIGROUP GLOBAL MARKETS INC.
December 5, 2000 - May 14, 2004
PGIM INVESTMENTS LLC
October 2, 2000 - January 21, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 10, 1996 - August 7, 2000
LOCKWOOD FINANCIAL SERVICES, INC.
May 23, 1994 - February 12, 1996
CITIGROUP GLOBAL MARKETS INC.
July 2, 1993 - November 2, 1993
F.N. WOLF & CO., 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.
