RC
Regine Carisma
PFS INVESTMENTS
Coral Springs, FL 33067
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CRD#: 6172044
RC
Professional summary
Regine Carisma, who also goes by Regine Cordon, Regine Marie Cordon-shiver, Regine Cordon-shiver, Regine Cordon, Regine Cordon-shiver, Regine Shiver, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Coral Springs, Florida.
Regine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Regine has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Regine Cordon | Regine Marie Cordon-Shiver | Regine Cordon-Shiver | Regine Cordon | Regine Cordon-Shiver | Regine Shiver
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. Gumbo to Geaux Food Truck, Not Investment Related, 2211 Pup Run, Helena, AL, Server/Independent Contractor, 07/01/2022 to present, 0-10 hours per month (0-5 hours per month during securities trading hours), food truck and catering specializing in creole food. --The Ultimate Guide to Creating Your Soul-Aligned Business, Not Investment Related, 1034 42nd St S, Birmingham, AL 35222, Co-Author, January 2022 to present, 5 hours per month (0 hours per month during securities trading hours).--
CRS (Client Relationship Summary) - RIA
Click below to view Regine Carisma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Regine Carisma'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
June 15, 2022 - Present
PFS INVESTMENTS INC.
Office #1: 7501 Wiles Rd Ste 205-c, Coral Springs, FL 33067RIA
BD
CRD#: 10111
Coral Springs, FL
Current
May 20, 2022 - Present
PFS INVESTMENTS INC.
Office #1: 7501 Wiles Rd Ste 205-c, Coral Springs, FL 33067RIA
BD
CRD#: 10111
Coral Springs, FL
Past
March 31, 2017 - June 11, 2021
PFS INVESTMENTS INC.
RIA
CRD#: 10111
CORAL SPRINGS, FL
Past
February 24, 2017 - June 11, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
CORAL SPRINGS, FL
Past
January 8, 2014 - February 16, 2016
PFS INVESTMENTS INC.
RIA
CRD#: 10111
CORAL SPRINGS, FL
Past
October 31, 2013 - January 3, 2014
PFS INVESTMENTS INC.
RIA
CRD#: 10111
CORAL SPRINGS, FL
Past
May 6, 2013 - February 16, 2016
PFS INVESTMENTS INC.
BD
CRD#: 10111
CORAL SPRINGS, FL
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
California(5/20/2022)
RR
Florida(5/23/2022)
IAR
Florida(6/15/2022)
RR
Georgia(5/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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)
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#: 10111Coral Springs, FL 33067TRUST BUT VERIFY
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