AS
Albert E. Smothers
PFS INVESTMENTS
Houston, TX 77090
Some features on this profile are disabled
CRD#: 3081873
AS
Professional summary
Albert Egan Smothers, who also goes by Al Smothers, Albert Smothers, is a registered financial professional currently at PFS INVESTMENTS INC. located in Houston, Texas.
Albert is registered as a RR (Registered Representative) and started their career in finance in 1998. Albert has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Al Smothers | Albert Smothers
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) - BD
Click below to view Albert Egan Smothers'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
May 19, 2020 - Present
PFS INVESTMENTS INC.
Office #1: 140 Cypress Station Suite 115-5kc, Houston, TX 77090RIA
BD
CRD#: 10111
Houston, TX
Past
April 14, 2018 - December 31, 2019
PFS INVESTMENTS INC.
BD
CRD#: 10111
HOUSTON, TX
Past
June 6, 2014 - December 31, 2015
PFS INVESTMENTS INC.
BD
CRD#: 10111
HOUSTON, TX
Past
January 1, 2010 - November 6, 2012
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
July 23, 2007 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
RIA
CRD#: 109264
HOUSTON, TX
Past
May 24, 2007 - November 6, 2012
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
August 9, 2006 - March 29, 2007
EDWARD JONES
BD
CRD#: 250
HOUSTON, TX
Past
October 22, 2000 - June 15, 2006
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
January 27, 2000 - October 7, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
September 9, 1998 - April 19, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 24, 1998 - August 27, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 24, 1998 - August 27, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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.
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
Texas(5/19/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
