Craig W. Morrison
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.
Craig Wells Morrison was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1998. Craig had worked at 9 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6 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
February 28, 2020 - April 23, 2021
PFS INVESTMENTS INC.
February 13, 2020 - April 23, 2021
PFS INVESTMENTS INC.
October 1, 2018 - January 8, 2020
PRUCO SECURITIES, LLC.
September 10, 2018 - January 8, 2020
PRUCO SECURITIES, LLC.
January 31, 2018 - August 27, 2018
PFS INVESTMENTS INC.
June 2, 2016 - August 27, 2018
PFS INVESTMENTS INC.
June 24, 2014 - November 10, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2013 - April 23, 2014
NYLIFE SECURITIES LLC
May 3, 2004 - December 31, 2004
HIGH STREET SECURITIES, INC.
August 9, 2002 - September 27, 2002
USALLIANZ SECURITIES, INC.
May 11, 2001 - September 27, 2002
USALLIANZ SECURITIES, INC.
June 8, 2000 - November 14, 2000
FIRST LIBERTY INVESTMENT GROUP, INC.
December 6, 1999 - April 3, 2000
MONY SECURITIES CORPORATION
April 23, 1998 - January 12, 1999
MORGAN STANLEY DW 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
Series 7TO
Date: 12/17/2018
General Securities Representative ExaminationCurrent 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.
