Ata Chu Shing
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.
Ata Chu Shing, who also goes by Aj Chu Shing, Ata J Chu Shing, Ata Joe Chu Shing, Joe Ata Chu Shing, Joe Chu Shing, Ata Joe Chu Sing, Ata J Chu-shing, Ata Joe Chu-shing, was a registered financial professional .
Ata is a previously registered financial professional and started their career in finance in 2005. Ata had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, 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
May 31, 2021 - December 31, 2023
PFS INVESTMENTS INC.
May 24, 2021 - December 31, 2023
PFS INVESTMENTS INC.
December 4, 2018 - May 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 4, 2018 - May 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2014 - November 19, 2018
MORGAN STANLEY
September 29, 2014 - November 19, 2018
MORGAN STANLEY
November 23, 2011 - September 28, 2012
HARRISDIRECT LLC
November 21, 2011 - September 28, 2012
E*TRADE SECURITIES LLC
June 1, 2009 - November 22, 2011
MORGAN STANLEY
June 1, 2009 - November 22, 2011
MORGAN STANLEY
December 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 25, 2007 - November 6, 2008
STRATEGIC ADVISERS LLC
July 25, 2005 - November 6, 2008
FIDELITY BROKERAGE 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent 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.
