Colin R. Odell
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.
Colin R Odell, who also goes by Colin Rice Odell, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1994. Colin had worked at 11 firms and has passed the Series 66, Series 65, 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
June 6, 2013 - August 19, 2015
PFS INVESTMENTS INC.
September 1, 2010 - July 1, 2011
NEW ENGLAND SECURITIES
February 15, 2008 - March 2, 2009
TRUIST INVESTMENT SERVICES, INC.
February 14, 2008 - March 2, 2009
TRUIST INVESTMENT SERVICES, INC.
May 17, 2006 - October 19, 2006
BB&T INVESTMENT SERVICES, INC.
May 16, 2006 - October 19, 2006
BB&T INVESTMENT SERVICES, INC.
March 22, 2005 - October 14, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
March 21, 2005 - October 14, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
July 16, 2003 - January 18, 2005
MML INVESTORS SERVICES, LLC
July 2, 2003 - January 18, 2005
MML INVESTORS SERVICES, LLC
May 7, 2003 - June 3, 2003
COLIN RICE ODELL
December 9, 2002 - December 16, 2002
CETERA WEALTH SERVICES, LLC
October 20, 1995 - July 5, 2000
QUICK & REILLY, INC.
October 5, 1995 - October 17, 1995
CARDY & CO.,INCORPORATED
September 15, 1994 - January 12, 1995
PARAGON CAPITAL MARKETS, 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.
