Pamela F. Stern
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.
Pamela Farthing Stern, who also goes by Pamela Ruth Farthing, Pamela Farthing Fass, Pamela Roberts Fass, Pamela Ruth Roberts, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1993. Pamela had worked at 11 firms and has passed the Series 66, Series 63, Series 31, Series 7 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 4, 2013 - December 31, 2013
PFS INVESTMENTS INC.
June 1, 2009 - October 1, 2009
MORGAN STANLEY
June 1, 2009 - October 1, 2009
MORGAN STANLEY
January 8, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 4, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 23, 2005 - July 7, 2006
COLONIAL BROKERAGE, INC.
March 19, 2004 - September 14, 2004
TRUIST INVESTMENT SERVICES, INC.
January 21, 2003 - March 13, 2003
OSAIC FA, INC.
February 20, 2002 - December 31, 2002
OSAIC FA, INC.
February 20, 2002 - March 13, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 20, 2002 - March 13, 2003
OSAIC FA, INC.
April 25, 1996 - October 29, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 1993 - April 15, 1997
MORGAN STANLEY DW INC.
July 29, 1993 - October 13, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 29, 1993 - October 13, 1993
EQUITABLE ADVISORS, 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 |
|---|---|---|
| 01/14/2026 | ||
| 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.
