US
Ulysses D. Smith
PFS INVESTMENTS
Winthrop Harbor, IL 60096
Some features on this profile are disabled
CRD#: 6319446
US
Professional summary
Ulysses Donald Smith JR, who also goes by Ulysses Donald Smith Jr, Ulysses Donald Smith, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Winthrop Harbor, Illinois.
Ulysses is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Ulysses has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ulysses Donald Smith Jr | Ulysses Donald 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. JR Retro Sole, Not investment related, Waukegan, IL 60087, Nature of Business: Sales, Owner, 01/01/2018 to Present, 32 hours committed per month (0 hours during securities trading hours). Rental Property, Not investment related, 4976 Genevieve Ave., St. Louis, MO 63120, Owner/Landlord, 08/04/2017 to Present, 1 hour committed per month (0 hours during securities trading hours). Uber, Not investment related, Waukegan, IL 60087, Independent Contractor/Rideshare Driver, 10/05/2015 to Present, 96 hours committed per month (0 hours during securities trading hours). Lyft, San Francisco, CA, Driver, 12/01/2015 to Present. DoorDash, 901 Market St., #600, San Francisco, CA, Dasher, 03/2020 to Present, 80 hour committed per month (60 hours during securities trading hours). Amazon, Seattle, WA, Flex Driver, 01/2020 to Present, 20 hours committed per month (0 hours during securities trading hours). GrubHub, Chicago, IL 60602, Driver, 05/2020 to Present, 15 hours committed per month (2-4 hours during securities trading hours). Handy, New York, NY, Pro Cleaner/Handyman, 04/2020 to Present, 20 hours committed per month (4 hours during securities trading hours). Draiver (Driver Do), Lawrence, KS 66049, Driver/Hiker, 04/2021 to Present, 70 hours committed per month (4 hours during securities trading hours). Smith & Davenport, LLC., Not investment related, Biros Lane Pond Lake, IL 60073, Business Consulting, Owner, 12/2020 to Present, 40 hours per month (3 hours during securities trading hours), provide business consulting services. Whatnot (1099), Not investment related, Marina Del Rey, CA 90292, Nature: Online Retailer, Position: Seller, 03/2023 to Present, 40 hours committed per month (0 hours during securities trading hours). The Milio Crew (1099), Not investment related, Round Lake, IL 60073, Nature of Business: Labor services company providing moving crews to assist U-Haul customers and non U-Haul customers with packing/unpacking, loading/unloading services, Owner, 12/2024 to Present, 10 hours committed per month (3 hours during securities trading hours). SPONGE SQUEEZERS, Not Investment Related, Round Lake, IL 60073, Nature of Business: CLEANING SERVICES FOR RESIDENTIAL & COMMERCIAL PROPERTIES, Position/Title: OWNER, 01/2025 to Present, 10 hours per month (3 of hours per month during securities trading hours). BIG SNATCH JUNK REMOVAL, Not Investment Related, Round Lake, IL 60073, Nature of Business: JUNK REMOVAL BUSINESS, Position/Title: OWNER, 01/2025 to Present, 10 hours per month (3 of hours per month during securities trading hours).
CRS (Client Relationship Summary) - RIA
Click below to view Ulysses Donald Smith JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ulysses Donald Smith JR'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
May 21, 2019 - Present
PFS INVESTMENTS INC.
Office #1: 1100 Sheridan Rd., Winthrop Harbor, IL 60096RIA
BD
CRD#: 10111
Winthrop Harbor, IL
Current
April 23, 2019 - Present
PFS INVESTMENTS INC.
Office #1: 1100 Sheridan Rd., Winthrop Harbor, IL 60096RIA
BD
CRD#: 10111
Winthrop Harbor, IL
Past
January 30, 2019 - April 4, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
May 5, 2016 - August 31, 2017
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
WAUKEGAN, IL
Past
August 25, 2015 - August 31, 2017
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
WAUKEGAN, 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(4/23/2019)
IAR
Illinois(5/21/2019)
RR
Louisiana(1/2/2020)
RR
Missouri(1/2/2020)
RR
Texas(3/4/2021)
RR
Wisconsin(1/2/2020)
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.
