Christopher L. Brosky
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.
Christopher Leo Brosky, who also goes by Christopher L Brosky, Christopher Leo Brosky, Christopher Brosky, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 11 firms and has passed the Series 66, Series 63, Series 65, 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 27, 2026 - May 15, 2026
PFS INVESTMENTS INC.
January 29, 2026 - May 15, 2026
PFS INVESTMENTS INC.
April 19, 2024 - November 19, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 18, 2024 - November 19, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 31, 2023 - November 29, 2023
PRUCO SECURITIES, LLC.
May 26, 2023 - November 29, 2023
PRUCO SECURITIES, LLC.
July 26, 2021 - February 7, 2022
MORGAN STANLEY
July 12, 2021 - February 7, 2022
MORGAN STANLEY
October 3, 2016 - December 31, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
September 15, 2004 - April 6, 2005
BB&T INVESTMENT SERVICES, INC.
September 15, 2004 - April 6, 2005
BB&T INVESTMENT SERVICES, INC.
February 11, 2004 - March 25, 2004
BANC ONE SECURITIES CORPORATION
February 11, 2004 - March 25, 2004
BANC ONE SECURITIES CORPORATION
September 4, 2002 - December 13, 2002
QUICK & REILLY, INC.
August 15, 2002 - December 13, 2002
QUICK & REILLY, INC.
February 5, 2001 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
February 5, 2001 - August 14, 2002
NATCITY INVESTMENTS, INC.
August 25, 1999 - January 26, 2001
EDWARD JONES
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: 7/12/2021
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 |
|---|---|---|
| 01/14/2026 | ||
| 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.
