Mark J. Thacher
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 Joseph Thacher, who also goes by Mark J Thacher, Mark J. Thacher, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2016 - September 20, 2016
PFS INVESTMENTS INC.
December 9, 2009 - October 16, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 30, 2007 - February 15, 2008
AVANTAX INVESTMENT SERVICES, INC.
December 18, 2001 - June 29, 2006
AMERIPRISE ADVISOR SERVICES, INC.
February 2, 2001 - January 7, 2002
BIRCHTREE FINANCIAL SERVICES LLC
May 6, 1993 - February 13, 2001
INVESTACORP, INC.
December 3, 1991 - May 27, 1993
FOUNTAINHEAD FINANCIAL, INC.
July 18, 1990 - February 13, 1991
IDS LIFE INSURANCE COMPANY
July 18, 1990 - February 13, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
June 19, 1990 - July 30, 1990
TOWER SQUARE SECURITIES, INC.
February 28, 1986 - May 25, 1990
DAIN RAUSCHER INCORPORATED
March 29, 1985 - December 17, 1985
AMERIPRISE ADVISOR SERVICES, INC.
November 27, 1984 - April 16, 1985
GUARDIAN INVESTOR SERVICES LLC
September 30, 1983 - July 31, 1984
FIDELITY BROKERAGE SERVICES LLC
November 20, 1980 - April 21, 1982
HAMILTON INVESTMENTS, INC.
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 5
Date: 11/12/1981
Interest Rate Options 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.
