Leonardo Bravo
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.
Leonardo Bravo, who also goes by Leonardo Bravo Mr., was a registered financial professional .
Leonardo is a previously registered financial professional and started their career in finance in 2000. Leonardo had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
October 14, 2014 - August 6, 2015
PFS INVESTMENTS INC.
October 14, 2014 - August 6, 2015
PFS INVESTMENTS INC.
January 6, 2012 - October 15, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - October 15, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 16, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
September 8, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
January 2, 2008 - September 9, 2008
MUTUAL SECURITIES, INC.
January 2, 2008 - September 9, 2008
MUTUAL SECURITIES, INC.
March 11, 2005 - May 3, 2007
UBS FINANCIAL SERVICES INC.
March 11, 2005 - May 3, 2007
UBS FINANCIAL SERVICES INC.
June 8, 2004 - February 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2004 - February 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2000 - October 25, 2000
TD AMERITRADE, 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
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.
