Judith A. Vicks

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CRD#: 2871776

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.

Judith Ann Vicks was a registered financial professional .

Judith is a previously registered financial professional and started their career in finance in 1997. Judith had worked at 7 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 13, 2012 - October 29, 2012

PFS INVESTMENTS INC.

RIA

CRD#: 10111

MT PROSPECT, IL

Past

May 12, 2011 - October 29, 2012

PFS INVESTMENTS INC.

CRD#: 10111

MT PROSPECT, IL

Past

February 19, 2010 - April 8, 2010

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

ROSEMONT, IL

Past

August 3, 2004 - November 28, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

August 3, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 3, 2004 - November 28, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, IL

Past

March 24, 2003 - February 23, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

March 1, 2000 - February 23, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 25, 1999 - January 13, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

June 18, 1997 - February 6, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

PFS INVESTMENTS INC.

CRD#: 10111 / SEC#: 801-72263, 8-26486

RIA

Registered Investment Advisory firm - SEC (5/6/2011 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/16/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/7/1997

General Securities Representative Examination

Current Firm

PFS INVESTMENTS INC.

CRD#: 10111 / SEC#: 801-72263, 8-26486

RIA

Registered Investment Advisory firm - SEC (5/6/2011 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIMERICA ADVISORS LIFETIME INVESTMENT PROGRAM (4/18/2025)

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	Cover Page	Report

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.

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Firm Stability Insights

Judith A. Vicks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PFS INVESTMENTS INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

NYLIFE SECURITIES LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/1997

Series 63

Date: 5/28/1997

Series 31

Date: 6/16/1997

Series 7

Date: 5/7/1997

Current Firm

PFS INVESTMENTS INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PFS INVESTMENTS INC.

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