Matthew D. Baudoin
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.
Matthew Duplan Baudoin, who also goes by Mathieu Jean Baudoin, Matthew John Baudoin, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1974. Matthew had worked at 13 firms and has passed the Series 63, SIE, Series 6, PC, Series 7 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
August 9, 2018 - December 31, 2018
PFS INVESTMENTS INC.
February 14, 2012 - June 10, 2013
DINOSAUR FINANCIAL GROUP, L.L.C
October 22, 2009 - November 8, 2010
GLOBAL ARENA CAPITAL CORP
November 28, 2006 - November 16, 2009
STIFEL INDEPENDENT ADVISORS, LLC
March 15, 2004 - November 29, 2006
DU PASQUIER & CO., INC.
May 1, 2003 - March 15, 2004
GILFORD SECURITIES INCORPORATED
November 14, 2000 - May 28, 2003
JANNEY MONTGOMERY SCOTT LLC
April 4, 1996 - November 14, 2000
SHIELDS & COMPANY
March 2, 1989 - April 11, 1996
JANNEY MONTGOMERY SCOTT LLC
September 26, 1985 - March 30, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 12, 1977 - September 30, 1985
FAHNESTOCK INTERNATIONAL INC.
August 27, 1976 - February 18, 1977
BACHE HALSEY STUART INC.
July 22, 1975 - August 27, 1976
BACHE & CO INCORPORATED
November 20, 1974 - April 18, 1975
CIBC WORLD MARKETS CORP.
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
PC
Date: 8/31/1977
AMEX Put and Call ExamCurrent 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.
