AN
Awa C. Njie
PFS INVESTMENTS
NEWARK, DE 19702
Some features on this profile are disabled
CRD#: 2891301
AN
Professional summary
Awa Coumba Njie, who also goes by Awa C Njie, Awa C S Njie, Awa Njie, Awa Sissoho, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Newark, Delaware.
Awa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Awa has worked at 8 firms and has passed the Series 65, Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6, Series 62, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Awa C Njie | Awa C S Njie | Awa Njie | Awa Sissoho
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.
CRS (Client Relationship Summary) - RIA
Click below to view Awa Coumba Njie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Awa Coumba Njie'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
December 4, 2020 - Present
PFS INVESTMENTS INC.
Office #1: 1220 Peoples Plaza Ste D, Newark, DE 19702RIA
BD
CRD#: 10111
NEWARK, DE
Current
April 5, 2019 - Present
PFS INVESTMENTS INC.
Office #1: 1220 Peoples Plaza Ste D, Newark, DE 19702RIA
BD
CRD#: 10111
NEWARK, DE
Past
August 1, 2008 - October 28, 2009
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
NEWARK, DE
Past
October 5, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
NEWARK, DE
Past
March 8, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
May 1, 2006 - October 28, 2009
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
NEWARK, DE
Past
January 29, 2001 - December 20, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 21, 2000 - January 12, 2001
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
October 19, 1998 - April 27, 2000
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
September 15, 1997 - January 30, 1998
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
August 7, 1997 - September 12, 1997
RICKEL & ASSOCIATES, INC.
BD
CRD#: 7839
NEW YORK, 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".
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
Alabama(6/5/2023)
RR
Alaska(7/28/2020)
RR
Arizona(5/29/2020)
RR
California(6/19/2020)
RR
Colorado(6/22/2020)
RR
Delaware(6/5/2019)
IAR
Delaware(12/4/2020)
RR
Florida(6/1/2020)
RR
Georgia(9/3/2019)
RR
Illinois(6/23/2020)
RR
Iowa(3/16/2021)
RR
Kentucky(6/23/2020)
RR
Maryland(5/28/2020)
RR
Massachusetts(1/14/2021)
RR
Michigan(6/16/2020)
RR
Minnesota(5/12/2020)
RR
Mississippi(7/8/2020)
RR
Missouri(3/9/2022)
RR
Nevada(2/17/2021)
RR
New Jersey(1/17/2020)
RR
New York(8/28/2019)
RR
North Carolina(6/5/2020)
RR
Ohio(5/7/2020)
RR
Pennsylvania(1/16/2020)
RR
Rhode Island(6/23/2020)
RR
Texas(5/7/2020)
IAR
Texas(2/17/2022)
RR
Washington(8/28/2019)
RR
Wisconsin(6/3/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/5/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/22/1997
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory 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)
PREMIUM
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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 |
|---|---|---|
| 01/14/2026 | ||
| 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.
