MB
Marc H. Bettinger
PFS INVESTMENTS
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 2829441
MB
Professional summary
Marc Harris Bettinger, who also goes by Marc H Bettinger, Marc Bettinger, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Boca Raton, Florida.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Marc has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc H Bettinger | Marc Bettinger
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of investment-related products; part-time or full-time, for companies affiliated with PFS Investments Inc. I may also receive non-investment related compensation from Primerica Mortgage, LLC for the sale of loan products and/or Primerica Client Services, Inc. (a co-located affiliate of PFS Investments Inc.) for part-time referrals of home security and automation products, as well as other home related services.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Harris Bettinger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Harris Bettinger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 19, 2020 - Present
PFS INVESTMENTS INC.
Office #1: 551 Nw 77th St Ste 108, Boca Raton, FL 33487RIA
BD
CRD#: 10111
Boca Raton, FL
Current
March 18, 2020 - Present
PFS INVESTMENTS INC.
Office #1: 551 Nw 77th St Ste 108, Boca Raton, FL 33487RIA
BD
CRD#: 10111
Boca Raton, FL
Past
June 24, 2015 - April 16, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Miami, FL
Past
March 24, 2015 - April 16, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Miami, FL
Past
November 23, 2011 - September 3, 2013
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
PARKLAND, FL
Past
November 23, 2011 - September 3, 2013
CFD INVESTMENTS, INC.
BD
CRD#: 25427
PARKLAND, FL
Past
October 18, 2011 - November 11, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
RIA
CRD#: 43035
PARKLAND, FL
Past
January 4, 2011 - November 11, 2011
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
CHARLOTTE, NC
Past
January 27, 2009 - April 23, 2009
KERN, SUSLOW SECURITIES, INC.
BD
CRD#: 24755
NEW YORK, NY
Past
May 27, 2008 - January 21, 2009
WASSERMAN & ASSOCIATES, INC.
BD
CRD#: 45085
MYRTLE BEACH, SC
Past
September 28, 2004 - May 6, 2008
STANFORD GROUP COMPANY
BD
CRD#: 39285
BOCA RATON, FL
Past
April 24, 2003 - September 22, 2004
WHITAKER SECURITIES LLC
BD
CRD#: 121465
NEW YORK, NY
Past
July 20, 2000 - July 3, 2001
CJS SECURITIES, INC.
BD
CRD#: 44823
WHITE PLAINS, NY
Past
December 24, 1996 - October 25, 1999
PALISADE CAPITAL SECURITIES, L.L.C.
BD
CRD#: 37579
FORT LEE, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/19/2020)
IAR
Florida(3/19/2020)
RR
New York(3/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL
CRD#: 10111 / SEC#: 801-72263, 8-26486
RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1 Primerica Parkway, Duluth, GA 30099-0001
Mailing Address
1 Primerica Parkway, Duluth, GA 30099-0001
Phone number
(770) 381-1000
Established
Georgia since 07/07/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,762
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.
