Mark A. Mcdonald
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.
Mark Alan Mcdonald, who also goes by Mark Mcdonald, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2008. Mark had worked at 7 firms and has passed the Series 66, Series 6TO, 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
August 3, 2023 - November 8, 2023
PFS INVESTMENTS INC.
December 18, 2018 - September 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
December 18, 2018 - September 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
July 20, 2016 - December 18, 2018
CAPITAL ANALYSTS
September 18, 2013 - December 18, 2018
LINCOLN INVESTMENT
September 18, 2013 - December 18, 2018
LINCOLN INVESTMENT
October 9, 2012 - September 9, 2013
PRUCO SECURITIES, LLC.
June 10, 2011 - September 24, 2012
LINCOLN INVESTMENT
June 10, 2011 - September 24, 2012
LINCOLN INVESTMENT
June 25, 2008 - May 13, 2011
EDWARD JONES
June 25, 2008 - May 13, 2011
EDWARD JONES
March 3, 2008 - June 19, 2008
WADDELL & REED
January 7, 2008 - June 19, 2008
WADDELL & REED
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 6TO
Date: 8/3/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 5/12/2023
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.
