Edward D. Rockett

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CRD#: 5039150

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.

Edward D Rockett, who also goes by Ed Rockett, Edward D Rockett Jr., Edward Rockett, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 2006. Edward had worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ed Rockett | Edward D Rockett Jr. | Edward Rockett

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.

SALES OF INVESTMENT-RELATED PRODUCTS; PART-TIME OR FULL-TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA MORTGAGE, LLC FOR THE SALE OF LOAN PRODUCTS AND/OR PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES . 1. Greater Tabernacle M.B. Church; I am part-time pastor of the church, responsible for planning worship and religious instruction. Start: 09/16/2012 Address: 11240 South Indiana Avenue Chicago, IL 60628 20 non bus hrs Not investment related 2. Insurance Sales I provide life insurance solutions(primarily Final Expense and Guaranteed Issue) to individuals who have a singular final expense need or who are not insurable. Start: 08/01/2013 Address: 6204 South Evans Avenue Chicago, IL 60637 Hrs per month - tot/bus: 5/2 Investment related

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 29, 2021 - December 31, 2022

PFS INVESTMENTS INC.

CRD#: 10111

SOUTH HOLLAND, IL

Past

April 28, 2021 - December 31, 2022

PFS INVESTMENTS INC.

RIA

CRD#: 10111

SOUTH HOLLAND, IL

Past

July 2, 2018 - May 8, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CHICAGO, IL

Past

June 7, 2018 - May 8, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

CHICAGO, IL

Past

February 9, 2017 - March 22, 2018

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Matteson, IL

Past

February 9, 2017 - March 22, 2018

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Matteson, IL

Past

June 24, 2015 - January 19, 2017

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHICAGO, IL

Past

June 24, 2015 - January 19, 2017

EQUITY SERVICES, INC.

CRD#: 265

CHICAGO, IL

Past

June 10, 2014 - August 18, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

CHICAGO, IL

Past

November 21, 2013 - April 23, 2014

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

TINLEY PARK, IL

Past

November 21, 2013 - April 23, 2014

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

TINLEY PARK, IL

Past

May 2, 2013 - August 13, 2013

MWA FINANCIAL SERVICES INC.

CRD#: 112630

CHICAGO, IL

Past

October 11, 2011 - January 15, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

MOKENA, IL

Past

June 21, 2011 - January 15, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

MOKENA, IL

Past

July 27, 2009 - June 3, 2011

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

ORLAND PARK, IL

Past

August 4, 2008 - February 2, 2009

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

OAK FOREST, IL

Past

January 11, 2007 - October 16, 2007

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

TINLEY PARK, IL

Past

January 23, 2006 - June 26, 2006

EQUITABLE ADVISORS, LLC

CRD#: 6627

OAKBROOK, IL

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".

PFS INVESTMENTS INC.

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

RIA

Registered Investment Advisory firm - SEC (5/6/2011 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/7/2012

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PFS INVESTMENTS INC.

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

RIA

Registered Investment Advisory firm - SEC (5/6/2011 Approved)

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)

FINRA licenses (53 States and Territories)

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

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	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.

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Firm Stability Insights

Edward D. Rockett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PFS INVESTMENTS INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

NYLIFE SECURITIES LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

MWA FINANCIAL SERVICES INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

W&S BROKERAGE SERVICES, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

W&S BROKERAGE SERVICES, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2006

Series 26

Date: 1/7/2012

Current Firm

PFS INVESTMENTS INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PFS INVESTMENTS INC.

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