Gregory Jeffries
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.
Gregory Jeffries, who also goes by Greg Lemont Jeffries, Gregory Lamont Jeffries, Greg Jeffries, Gregory L Jeffries, Gregory Lemont Jeffries, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2003. Gregory had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2021 - December 31, 2022
PFS INVESTMENTS INC.
June 6, 2018 - August 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2018 - August 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2014 - May 1, 2017
PNC WEALTH MANAGEMENT LLC
May 19, 2014 - May 1, 2017
PNC WEALTH MANAGEMENT LLC
October 17, 2011 - January 15, 2014
INVEST FINANCIAL CORPORATION
October 6, 2011 - January 15, 2014
INVEST FINANCIAL CORPORATION
June 16, 2009 - December 1, 2010
EDWARD JONES
June 15, 2009 - December 1, 2010
EDWARD JONES
December 13, 2007 - February 11, 2009
UBS FINANCIAL SERVICES INC.
December 13, 2007 - February 11, 2009
UBS FINANCIAL SERVICES INC.
January 31, 2005 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 30, 2004 - February 13, 2006
LEGG MASON WOOD WALKER, INCORPORATED
December 4, 2003 - December 8, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 4, 2003 - December 8, 2004
MSI FINANCIAL SERVICES, 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.
