Michael Kerwin
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 Kerwin, who also goes by Michael Patrick Kerwin, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 12 firms and has passed the Series 63, SIE 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
December 6, 2012 - February 11, 2015
PFS INVESTMENTS INC.
April 30, 2009 - July 21, 2011
BRIGHT TRADING, LLC
May 10, 2006 - May 21, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 15, 2005 - April 25, 2006
WHITAKER SECURITIES LLC
June 29, 2005 - October 11, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2004 - October 26, 2004
METROPOLITAN LIFE INSURANCE COMPANY
September 9, 2004 - October 26, 2004
MSI FINANCIAL SERVICES, INC.
July 31, 1998 - March 1, 1999
TULLETT & TOKYO SECURITIES, INC.
October 20, 1997 - July 9, 1998
TRADITION SECURITIES AND DERIVATIVES LLC
June 19, 1996 - October 9, 1997
TULLETT & TOKYO SECURITIES, INC.
August 21, 1995 - June 3, 1996
CANTOR FITZGERALD SECURITIES
May 18, 1994 - August 8, 1995
INTERCAPITAL GOVERNMENT SECURITIES INC.
May 18, 1994 - August 8, 1995
EXCO RMJ INTERNATIONAL 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.
