AV
Anthony A. Valencia
PFS INVESTMENTS
Elgin, IL 60123
Some features on this profile are disabled
CRD#: 5070068
AV
Professional summary
Anthony Anthony Valencia, who also goes by Anthony Valencia, Jose Anthony Valencia, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Elgin, Illinois.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Anthony has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Valencia | Jose Anthony Valencia
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. Valencia Realty of Chicago LLC, not investment related, 2410 W Lake St., Melrose Park, Il, nature: Real Estate, Position: Realtor, 10/2018 to present, 10 hours per month, 0 during securities trading hours Valencia Enterprises LLC, not investment related, 43 Fairway DR., Glendale Heights, IL, nature: Holding company for insurance & real estate sales income, position: Owner, 11/2018 to present, 10 hours per month, 0 during securities trading hours. Valencia Trucking & Logistics, not investment related, 187 Goldenrod DR. Elgin, IL 60124, Nature: Trucking & Logistics, Position: manager, 11/2018 to present, spends 5 hours per month on outside business, 0 hours per month on outside business during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Anthony Valencia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Anthony Valencia's 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®
NoneExperience
Current
January 25, 2023 - Present
PFS INVESTMENTS INC.
Office #1: 705 Tollgate Rd Suite A, Elgin, IL 60123RIA
BD
CRD#: 10111
Elgin, IL
Current
January 22, 2023 - Present
PFS INVESTMENTS INC.
Office #1: 705 Tollgate Rd Suite A, Elgin, IL 60123RIA
BD
CRD#: 10111
Elgin, IL
Past
January 27, 2022 - December 31, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
ELGIN, IL
Past
November 4, 2021 - December 31, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
ELGIN, IL
Past
August 12, 2019 - November 11, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Melrose Park, IL
Past
August 12, 2019 - November 11, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Melrose Park, IL
Past
October 24, 2016 - December 31, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Wheaton, IL
Past
April 15, 2015 - December 31, 2018
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Wheaton, IL
Past
September 11, 2014 - March 23, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
GLENDALE HEIGHTS, IL
Past
September 11, 2014 - March 23, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
GLENDALE HEIGHTS, IL
Past
September 3, 2014 - September 18, 2014
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CHICAGO, IL
Past
September 3, 2014 - September 18, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CHICAGO, IL
Past
October 1, 2012 - July 9, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WILLOWBROOK, IL
Past
October 1, 2012 - July 9, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WILLOWBROOK, IL
Past
January 16, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WILLOWBROOK, IL
Past
January 16, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WILLOWBROOK, IL
Past
January 1, 2008 - January 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHICAGO, IL
Past
January 1, 2008 - January 22, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHICAGO, IL
Past
November 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
CHICAGO, IL
Past
November 19, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
CHICAGO, IL
Past
May 7, 2007 - November 20, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
RIVERWOODS, IL
Past
April 10, 2007 - November 20, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RIVERWOODS, IL
Past
December 21, 2005 - January 31, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BATAVIA, 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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Illinois(1/25/2023)
IAR
Illinois(1/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Company Information
PFS INVESTMENTS INC.
CRD#: 10111Elgin, IL 60123TRUST BUT VERIFY
Monitor Anthony Valencia
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
