Thomas M. Doyle
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.
Thomas Morgan Doyle, who also goes by Tom M Doyle, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2016 - December 26, 2024
PFS INVESTMENTS INC.
March 3, 2016 - December 26, 2024
PFS INVESTMENTS INC.
June 28, 2011 - February 18, 2016
PFS INVESTMENTS INC.
June 27, 2011 - February 18, 2016
PFS INVESTMENTS INC.
October 19, 2010 - April 28, 2011
TD AMERITRADE, INC.
October 19, 2010 - April 28, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 18, 2010 - April 28, 2011
TD AMERITRADE, INC.
July 24, 2007 - May 6, 2009
FSC SECURITIES CORPORATION
April 4, 2006 - May 6, 2009
FSC SECURITIES CORPORATION
November 29, 2004 - December 31, 2005
ENTERPRISE FUND DISTRIBUTORS, INC.
September 30, 2003 - October 22, 2004
CITIGROUP GLOBAL MARKETS INC.
September 23, 2003 - October 22, 2004
CITIGROUP GLOBAL MARKETS INC.
August 29, 2002 - August 26, 2003
QUICK & REILLY, INC.
May 9, 2002 - August 26, 2003
QUICK & REILLY, INC.
August 14, 2000 - May 24, 2002
UBS FINANCIAL SERVICES INC.
February 9, 1999 - August 14, 2000
J.C. BRADFORD & CO.
January 29, 1998 - February 4, 1999
CITIGROUP GLOBAL 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.
