Saul Pozensky
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.
Saul Pozensky, who also goes by Saul Pozensky, was a registered financial professional .
Saul is a previously registered financial professional and started their career in finance in 2001. Saul had worked at 15 firms and has passed the Series 63, Series 66, SIE, Series 55 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
May 8, 2015 - December 31, 2015
PFS INVESTMENTS INC.
April 2, 2013 - May 8, 2013
CAPITAL PATH SECURITIES, LLC
October 8, 2012 - March 4, 2013
LEGEND SECURITIES, INC.
April 25, 2011 - September 28, 2012
T3 TRADING GROUP, LLC
October 21, 2008 - September 22, 2009
OC SECURITIES, INC.
January 16, 2007 - September 19, 2007
AMERITAS INVESTMENT COMPANY, LLC
April 3, 2006 - November 14, 2006
EQUITABLE ADVISORS, LLC
March 6, 2006 - November 14, 2006
EQUITABLE ADVISORS, LLC
May 17, 2005 - March 7, 2006
MSI FINANCIAL SERVICES, INC.
April 28, 2005 - March 7, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 2005 - March 7, 2006
MSI FINANCIAL SERVICES, INC.
August 18, 2004 - April 29, 2005
A. G. EDWARDS & SONS, INC.
July 21, 2004 - April 29, 2005
A. G. EDWARDS & SONS, INC.
May 3, 2004 - July 21, 2004
STG SECURE TRADING GROUP, INC.
April 18, 2002 - December 31, 2002
FIRST SECURITY INVESTMENTS, INC.
October 15, 2001 - November 28, 2001
WORLDCO, L.L.C.
May 1, 2001 - October 15, 2001
SCHONFELD SECURITIES, LLC
March 20, 2001 - May 1, 2001
ON-SITE TRADING, 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
Series 55
Date: 4/20/2001
Limited Representative-Equity Trader ExamCurrent 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.
