Harold W. Phillips
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.
Harold Wayne Phillips Sr, who also goes by (sr) Harold Wayne Phillips, Harold W Phillips Sr, Harold W Phillips, Harold Wayne Phillips Sr, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 2013. Harold had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2024 - September 25, 2025
PFS INVESTMENTS INC.
June 24, 2021 - January 10, 2022
EQUITABLE ADVISORS, LLC
June 24, 2021 - January 10, 2022
EQUITABLE ADVISORS, LLC
May 12, 2021 - July 7, 2021
AVANTAX ADVISORY SERVICES
May 12, 2021 - July 7, 2021
AVANTAX INVESTMENT SERVICES, INC.
October 23, 2018 - January 28, 2020
W&S BROKERAGE SERVICES, INC.
February 8, 2018 - January 28, 2020
W&S BROKERAGE SERVICES, INC.
April 26, 2017 - January 16, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 26, 2017 - January 16, 2018
SCOTTRADE, INC.
September 8, 2016 - May 5, 2017
AVANTAX ADVISORY SERVICES
June 28, 2016 - May 5, 2017
AVANTAX INVESTMENT SERVICES, INC.
May 13, 2016 - June 23, 2016
J.P. MORGAN SECURITIES LLC
September 18, 2013 - May 17, 2016
NYLIFE SECURITIES LLC
January 15, 2013 - August 14, 2013
MML INVESTORS SERVICES, LLC
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
Current 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.
