RA
Russell A. Anwar
PFS INVESTMENTS
RALEIGH, NC 27615
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CRD#: 715825
RA
Professional summary
Russell Arnold Anwar, who also goes by Russell Arnold Anwar, Russell Anwar, is a registered financial advisor currently at PFS INVESTMENTS INC. located in Raleigh, North Carolina.
Russell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Russell has worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Russell Arnold Anwar | Russell Anwar
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. Marina Limited Partnership, Not investment related, Indianapolis, IN 46256, Holds raw land for sale, Nature of Business: Passive investment, Owned Partnership units since 03/2006, 0 hours committed per month (0 hours during securities trading hours), No duties, just an investment.
CRS (Client Relationship Summary) - RIA
Click below to view Russell Arnold Anwar's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Russell Arnold Anwar'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
August 17, 2021 - Present
PFS INVESTMENTS INC.
Office #1: 8300 Falls Of Neuse Road Ste 110, Raleigh, NC 27615RIA
BD
CRD#: 10111
RALEIGH, NC
Current
June 28, 2021 - Present
PFS INVESTMENTS INC.
Office #1: 8300 Falls Of Neuse Road Ste 110, Raleigh, NC 27615RIA
BD
CRD#: 10111
RALEIGH, NC
Past
May 13, 2020 - July 13, 2020
EDWARD JONES
RIA
CRD#: 250
MORRISVILLE, NC
Past
March 16, 2020 - July 13, 2020
EDWARD JONES
BD
CRD#: 250
MORRISVILLE, NC
Past
December 7, 2012 - August 26, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
Past
July 27, 2011 - May 3, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
April 12, 2011 - July 11, 2011
G-2 TRADING,LLC
BD
CRD#: 44018
NEW YORK, NY
Past
July 5, 2010 - November 17, 2010
UNX LLC
BD
CRD#: 46145
NEW YORK, NY
Past
February 6, 1996 - February 12, 2002
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
November 22, 1995 - February 28, 1996
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
NEW YORK, NY
Past
October 31, 1990 - November 27, 1995
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
March 6, 1990 - October 11, 1990
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
November 7, 1988 - October 24, 1989
WEDBUSH SECURITIES INC.
BD
CRD#: 877
PASADENA, CA
Past
January 13, 1988 - October 19, 1989
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
BD
CRD#: 595
Past
August 5, 1986 - January 23, 1988
REICH & CO., INC.
BD
CRD#: 3148
Past
October 1, 1980 - November 21, 1989
HERZOG, HEINE, GEDULD, LLC
BD
CRD#: 2186
Past
August 25, 1980 - August 30, 1985
COSENTINO & DE FELICE, INC.
BD
CRD#: 6054
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
North Carolina(6/29/2021)
IAR
North Carolina(8/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/16/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/24/1999
Limited Representative-Equity Trader ExamPrincipal/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#: 10111Raleigh, NC 27615TRUST BUT VERIFY
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