Fred D. Fleisher
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.
Fred Dennis Fleisher was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1981. Fred had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2010 - December 31, 2024
PFS INVESTMENTS INC.
October 22, 2007 - December 31, 2007
FDX CAPITAL LLC
July 8, 2004 - October 19, 2005
INDEPENDENT SECURITIES INVESTORS CORPORATION
February 4, 2004 - July 9, 2004
CLARK STREET CAPITAL, INC.
May 1, 2002 - August 26, 2002
WAMU INVESTMENTS, INC.
June 28, 2000 - May 1, 2002
DIME SECURITIES, INC.
September 20, 1999 - March 13, 2000
NEBRASKA HUDSON COMPANY, INC.
May 25, 1999 - June 17, 1999
YORK SECURITIES, INC.
March 12, 1990 - August 21, 1998
WHITEHALL SECURITIES, INC.
July 5, 1988 - July 27, 1988
REVCON (USA) LIMITED
March 2, 1988 - July 18, 1988
RANDOLPH BROWN SECURITIES CORPORATION
June 4, 1987 - March 11, 1988
MOSELEY SECURITIES CORPORATION
March 21, 1985 - June 19, 1986
ROONEY, PACE INC.
March 23, 1983 - September 23, 1983
FIDELITY BROKERAGE SERVICES LLC
May 6, 1982 - June 30, 1982
WISE FRIEDMAN INCORPORATED
January 19, 1981 - December 31, 1983
ARONSON, WOOLCOTT & CO. 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
Current 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 |
|---|---|---|
| 01/14/2026 | ||
| 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.
