GS
Gregory I. Smith
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CRD#: 6287067
GS
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.
Gregory I Smith, who also goes by Gregory I Smith, Gregory Ian Smith, Gregory Smith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2014. Gregory had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory I Smith | Gregory Ian Smith | Gregory Smith
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)Everglades University, 850 Trafalgar Ct, Maitland FL 32750, Professor, non investment related, duties-lecture at the undergraduate and garduate levels in business, finance and aviation part time and online, time devoted-5%, start dt-11/01/18, hrs per mo-20, during trading hrs-0 2)Savings Grace Services Inc, 345 Black Lake Rd, Osteen FL 32744-2802, CFO, non investment related, duties-Operations including farm work, time devoted-5%, start dt-11/2011, 20 hrs per mo-20, during trading hrs-0 3) GSAC, NOT INVESTMENT RELATED, 1060 E Industrial Drive, Orange City FL, 32763, the nature of the other business - Training, CEO, START DATE: June 2016 TO PRESENT, 10 HOURS PER MONTH (0 HOURS DURING SECURITIES TRADING HOURS). 4) PAXI INC.; 50/50 OWNER WITH SPOUSE AND PRESIDENT; NOT INVESTMENT RELATED; DEVOTES 0 HOURSPER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; NATURE OF BUSINESS: PROVIDES RIDE SHARE SERVICES; STARTED: 01/2021; BUSINESS IS CLOSED, HOWEVER ENTITY HAS NOT BEEN DISSOLVED.
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®
NoneExperience
Past
December 20, 2022 - December 31, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
KISSIMMEE, FL
Past
December 8, 2022 - December 31, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
KISSIMMEE, FL
Past
June 4, 2019 - September 29, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Oviedo, FL
Past
May 21, 2019 - September 29, 2020
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
OVIEDO, FL
Past
June 17, 2016 - August 15, 2017
MORGAN STANLEY
RIA
CRD#: 149777
ORMOND BEACH, FL
Past
June 17, 2016 - August 15, 2017
MORGAN STANLEY
BD
CRD#: 149777
ORMOND BEACH, FL
Past
August 5, 2014 - June 22, 2016
EDWARD JONES
RIA
CRD#: 250
ORMOND BEACH, FL
Past
April 4, 2014 - June 22, 2016
EDWARD JONES
BD
CRD#: 250
ORMOND BEACH, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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.
