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PS

Paungmalay Sirisouk

PFS INVESTMENTS
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 4757891
PS

Professional summary

Paungmalay Sirisouk, who also goes by Paungmalayvanh Kounnavong, Thim Sirisouk, is a registered financial professional currently at PFS INVESTMENTS INC. located in Fairfield, Connecticut.

Paungmalay is registered as a RR (Registered Representative) and started their career in finance in 2004. Paungmalay has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paungmalayvanh Kounnavong | Thim Sirisouk

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paungmalay Sirisouk's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 8, 2022 - Present

PFS INVESTMENTS INC.

Office #1: 1275 Post Rd Ste A-12, Fairfield, CT 06824
RIA
BD
CRD#: 10111
Fairfield, CT
Past

February 18, 2021 - September 3, 2021

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
Westport, CT
Past

November 26, 2007 - June 5, 2020

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
DARIEN, CT
Past

May 29, 2007 - October 16, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
FAIRFIELD, CT
Past

September 9, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
FAIRFIELD, CT

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".
PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL

CRD#: 10111 / SEC#: 801-72263, 8-26486

RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/14/2022)
RR
Connecticut
(2/8/2022)
RR
Georgia
(10/15/2024)
RR
Nebraska
(1/30/2025)
RR
New Jersey
(2/11/2022)
RR
North Carolina
(12/10/2024)
RR
Pennsylvania
(11/8/2022)
RR
Rhode Island
(11/10/2023)
RR
South Carolina
(12/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/8/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PFS INVESTMENTS INC.
BLUE MOUNTAIN FINANCIAL GROUP | TORCHLIGHT FINANCIAL GROUP | SWOPE FINANCIAL PARTNERS | SHEPPARD FINANCIAL GROUP | PRIMEVISION FINANCIAL GROUP | PRIMERICA ADVISORS | PFS INVESTMENTS INC. | NEWMAN FINANCIAL GROUP | LOE FINANICAL GROUP | LASHNER FINANCIAL GROUP | LANDMARK FINANCIAL GROUP | KELLER FINANCIAL ASSOCIATES | FIRST AMERICAN NATIONAL SECURITIES, INC. | E.H.R. FINANCIAL GROUP | DRAKE FINANCIAL GROUP | DIEHL FINANCIAL GROUP | DEEVERS AND SONS | CMJ FINANCIAL GROUP | CASTLEROCK FINANCIAL GROUP | BOHANNAN FINANCIAL

CRD#: 10111 / SEC#: 801-72263, 8-26486

RIA
Registered Investment Advisory firm - SEC (5/6/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1 Primerica Parkway, Duluth, GA 30099-0001
Mailing Address
1 Primerica Parkway, Duluth, GA 30099-0001
Phone number
(770) 381-1000
Established
Georgia since 07/07/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,762

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

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

Part 2 Brochures

PRIMERICA ADVISORS LIFETIME INVESTMENT PROGRAM (4/18/2025)

Direct owners and executive officers

NamePositionCRD#
PRIMERICA FINANCE CORPORATIONDIRECT OWNER
COLEY, DASIA DEBORAHVICE PRESIDENT AND CHIEF FINANCIAL OFFICER6760291
JENDUSA, NICHOLAS ADAMEXECUTIVE VICE PRESIDENT6037365
LESUTIS, MICHAELSENIOR VICE PRESIDENT & CHIEF COUNSEL4751250
MILLER, DEBORAH LYNNEXECUTIVE VICE PRESIDENT3036949
NEMETZ, WILLIAM JAMESDIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER4589878
REGARD, PAUL ETIENNEPRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER2448671
RIVET, LORI ALLISONEXECUTIVE VICE PRESIDENT4496273
SUKIN, KAREN LYNNEXECUTIVE VICE PRESIDENT AND GENERAL COUNSEL6292138
WEIGLE, BRIAN STEVENDIRECTOR AND EXECUTIVE VICE PRESIDENT4131816
WELLS, MICHAEL KURTEXECUTIVE VICE PRESIDENT & TREASURER5999501
WOODRING, DANIEL AARONEXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4028705

Regulatory assets under management

Total Number of Accounts70,434
AUM (Assets Under Management)$ 11,156,017,804

Disclosures

Regulatory Event22
Arbitration2
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/26/2024
Cover Page
Report

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.

Company Information

PFS INVESTMENTS INC.

CRD#: 10111Fairfield, CT 06824

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