David W. Mcpherson
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.
David W Mcpherson, who also goes by David Mc Pherson, David Winston Mc Pherson-reefe, David Mcpherson, David Winston Mcpherson Reefe, David Mcpherson-reefe, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 7 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
June 21, 2021 - December 31, 2024
PFS INVESTMENTS INC.
January 27, 2020 - December 31, 2024
PFS INVESTMENTS INC.
April 9, 2014 - December 31, 2019
PFS INVESTMENTS INC.
December 9, 2013 - December 31, 2019
PFS INVESTMENTS INC.
September 11, 2012 - August 23, 2013
PNC WEALTH MANAGEMENT LLC
August 31, 2012 - August 23, 2013
PNC WEALTH MANAGEMENT LLC
September 14, 2010 - August 31, 2011
BB&T INVESTMENT SERVICES, INC.
February 19, 2010 - August 31, 2011
BB&T INVESTMENT SERVICES, INC.
November 4, 2008 - September 21, 2009
COLONIAL BROKERAGE, INC.
September 11, 2007 - September 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 10, 2007 - September 11, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 15, 2003 - July 23, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2003 - July 23, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 13, 2001 - May 13, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
November 9, 2001 - May 13, 2003
IDS LIFE INSURANCE COMPANY
November 9, 2001 - May 13, 2003
AMERIPRISE FINANCIAL 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.
