Paul E. Regard
Professional summary
Paul Etienne Regard is a registered financial professional currently at PFS INVESTMENTS INC. located in Duluth, Georgia and PRIMERICA BROKERAGE SERVICES, INC. located in Duluth, Georgia.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 9 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, SIE, Series 6, Series 3, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Etienne Regard's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2017 - Present
PFS INVESTMENTS INC.
Office #1: 1 Primerica Parkway, Duluth, GA 30099April 4, 2023 - Present
PRIMERICA BROKERAGE SERVICES, INC.
Office #1: 1 Primerica Parkway, Duluth, GA 30099Office #2: 1 Primerica Parkway, Duluth, GA 30099April 25, 2006 - September 17, 2008
WALNUT STREET SECURITIES, INC.
April 25, 2006 - September 17, 2008
NEW ENGLAND SECURITIES
April 25, 2006 - September 17, 2008
MSI FINANCIAL SERVICES, INC.
February 13, 2004 - May 7, 2004
CURIAN CAPITAL, LLC
March 28, 2002 - May 24, 2002
PORTFOLIO BROKERAGE SERVICES, INC.
April 10, 1997 - September 12, 2000
DELAWARE DISTRIBUTORS, L.P.
June 14, 1994 - March 27, 1997
SEI INVESTMENTS DISTRIBUTION CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2023)
(8/25/2023)
Exams
Series 99TO
Date: 11/17/2023
Operations Professional ExaminationSeries 7TO
Date: 8/5/2022
General Securities Representative ExaminationFINRA
Current Firm
PRIMERICA BROKERAGE SERVICES, INC.
CRD#: 322250 / SEC#: , 8-70965
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMERICA FINANCE CORPORATION | DIRECT OWNER | |
| COLEY, DASIA DEBORAH | CHIEF FINANCIAL OFFICER / FINOP | 6760291 |
| NEMETZ, WILLIAM JAMES | DIRECTOR, EXECUTIVE VICE PRESIDENT & CHIEF OPERATIONS OFFICER | 4589878 |
| REGARD, PAUL ETIENNE | DIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT | 2448671 |
| WEIGLE, BRIAN STEVEN | DIRECTOR & EXECUTIVE VICE PRESIDENT | 4131816 |
| WELLS, MICHAEL KURT | EXECUTIVE VICE PRESIDENT & TREASURER | 5999501 |
| WOODRING, DANIEL AARON | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 4028705 |
Red Flags
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