John M. Hopkins
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.
John Marx Hopkins was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 1, Series 53 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2014 - December 20, 2016
PFS INVESTMENTS INC.
September 21, 2011 - September 17, 2012
DREXEL HAMILTON, LLC
September 24, 2009 - February 15, 2011
INTL ADVISORY CONSULTANTS INC.
September 16, 2009 - February 15, 2011
STONEX SECURITIES INC.
October 28, 2008 - August 3, 2009
CARTER, TERRY & COMPANY, INC.
October 20, 2008 - August 3, 2009
CARTER, TERRY & COMPANY, INC.
September 21, 2005 - August 29, 2008
AMERIPRISE ADVISOR SERVICES, INC.
February 2, 2004 - August 29, 2008
AMERIPRISE ADVISOR SERVICES, INC.
November 6, 2000 - February 2, 2004
STERNE, AGEE & LEACH, INC.
May 1, 1992 - October 31, 2000
WACHOVIA SECURITIES, INC.
July 12, 1989 - May 11, 1992
FIRST UNION CAPITAL MARKETS CORP.
April 20, 1989 - June 22, 1989
ESSEX COMPANY
June 27, 1985 - February 18, 1987
PRESCOTT, BALL & TURBEN, INC.
November 16, 1984 - July 11, 1985
MORGAN STANLEY DW INC.
June 26, 1984 - March 13, 1985
LEHMAN BROTHERS INC.
November 17, 1981 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 21, 1979 - September 23, 1981
J.P. MORGAN SECURITIES LLC
March 8, 1979 - December 23, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 16, 1970 - March 10, 1979
CREDIT SUISSE SECURITIES (USA) 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
Series 1
Date: 12/15/1969
Registered Representative ExaminationSeries 40
Date: 12/22/1976
Registered Principal ExaminationCurrent 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.
