John Cummings Oliver Jr

PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

Years of Experience

53 years in the financial services industry

Current & Past Employments

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

233 Cajon Street Suite 7, Redlands, CA 92373-5257

January 24, 2025 - Present

OSAIC WEALTH, INC.·CRD# 23131

RIA

BD

233 Cajon Street Suite 7, Redlands, CA 92373-5257

January 24, 2025 - Present

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY·CRD# 2580

BD

Fort Wayne, IN

November 5, 2001 - April 28, 2006

OSAIC FA, INC.·CRD# 3978

BD

Redlands, CA

June 1, 1998 - January 24, 2025

OSAIC FA, INC.·CRD# 3978

RIA

Redlands, CA

December 19, 1997 - January 24, 2025

LINCOLN FINANCIAL DISTRIBUTORS, INC.·CRD# 145

BD

Radnor, PA

February 1, 1973 - June 1, 1998

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1) 2743 LLC POSITION: Owner NATURE: My mother died in late 2011 and her trust gave me and my sister the small commercial real estate property where my office is located. . My sister each own 50% and of 2743 LLC and I am the managing member. The property is taken care of by a management company who takes care of all building aspects and then will send us a net check for rental proceeds. We have no active involvement in the management and running of the properties nor is there any visible evidence of the LLC. The property management company has handled all aspects of the building operations since 2001. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/16/2012 ADDRESS: 233 Cajon Street, Suite 7, Redlands CA 92373, United States DESCRIPTION: Although I am the managing member of the LLC owned by my sister and I, she and I will be passive investors. My only decision regarding these buildings is to continue with the services of the paid, professional management company that has handled these buildings since my parents bought them in 1992. They handle tenant contacts and are total decision makers regarding this building. I will not have any active involvement with management, writing leases, dealing with tenants, et 2) JOHN C. OLIVER, JR. INSURANCE BROKER POSITION: Sole Proprietor NATURE: I have had a long standing approval for these activities, including the resubmission in 2009. This is for the sale of individual life, disability, and annnuity policies, primarily through CRUMP/Lincoln Associates. I also service many longstanding group life, disability and health cases for which I receive commissions. These cases are directly with group carriers such as UNUM, Blue Cross, Standard of Oregon. None are securities related cases. As of January 2020 I no longer solicited or sold group health cases nor individual health insurance. I keep this OBA active because I receive trail commissions for existing group cases I sold 10 to 20 years ago. I am concentrating my time exclusively on my life insurance and money management business. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/01/1972 ADDRESS: 233 Cajon Street, Suite 7, Redlands CA 92373, United States DESCRIPTION: See number 5 above 3) THE OLIVER FAMILY TRUST DATED 5-30-13, JOHN AND KAREN OLIVER, TRUSTEES POSITION: Trustee NATURE: Created new revocable living trust for our personal estate planning needs. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/30/2013 ADDRESS: 1801 Rossmont Drive, Redlands CA 92373, United States DESCRIPTION: Personal investments for my myself My son John Corey Oliver is now a co-trustee with me

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

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".

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver 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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(1/24/2025)

RR

California
(1/24/2025)

IAR

California
(1/24/2025)

RR

Colorado
(1/24/2025)

RR

Idaho
(1/24/2025)

RR

Missouri
(1/24/2025)

RR

Nevada
(1/24/2025)

RR

New Hampshire
(1/24/2025)

RR

New Mexico
(1/24/2025)

RR

North Carolina
(1/24/2025)

RR

Oregon
(1/24/2025)

RR

Texas
(1/24/2025)

RR

Utah
(1/24/2025)

RR

Washington
(1/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 1 — Registered Representative Examination

Passed Jan 1973

FINRA

SRO Registrations

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PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view John Cummings Oliver JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Cummings Oliver JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

PFS INVESTMENTS INC.

CRESTLINE, CA · CRD#