Louidor Francois
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.
Louidor Francois, who also goes by Lou Francois, Louidor B Francois, Louidor B. Francois, Louidor Yve Francois, Louis Francois, was a registered financial professional .
Louidor is a previously registered financial professional and started their career in finance in 1994. Louidor had worked at 11 firms and has passed the Series 63, Series 66, SIE, 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
October 31, 2012 - July 14, 2016
PFS INVESTMENTS INC.
July 8, 2011 - June 19, 2012
GLOBAL ARENA CAPITAL CORP
November 1, 2010 - July 11, 2011
J.P. TURNER & COMPANY, L.L.C.
August 12, 2009 - September 8, 2010
NFSG CORPORATION
July 16, 2009 - September 8, 2010
NEWBRIDGE SECURITIES CORPORATION
October 8, 2008 - April 14, 2009
MORGAN STANLEY & CO. LLC
September 25, 2008 - April 14, 2009
MORGAN STANLEY & CO. LLC
February 21, 2006 - March 20, 2006
MONEY CONCEPTS CAPITAL CORP
January 24, 2006 - March 20, 2006
MONEY CONCEPTS CAPITAL CORP
March 2, 2005 - September 19, 2008
QUANTUM INVESTMENT ADVISORS, LLC
October 21, 2003 - January 23, 2004
SALOMON GREY FINANCIAL CORPORATION
March 13, 2003 - June 3, 2003
ITRADEDIRECT.COM CORP
May 31, 1994 - August 24, 1995
FRANKLIN/TEMPLETON DISTRIBUTORS, 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.
