Jeffrey R. Bashor
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.
Jeffrey Robert Bashor, who also goes by Jeff Bashor, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1977. Jeffrey had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 12, Series 4 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
July 13, 2015 - December 31, 2015
PFS INVESTMENTS INC.
July 13, 2015 - December 31, 2015
PFS INVESTMENTS INC.
February 6, 2013 - July 19, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
November 20, 2012 - July 19, 2013
MIDWESTERN SECURITIES TRADING COMPANY, LLC
December 8, 2005 - November 24, 2010
BMO HARRIS FINANCIAL ADVISORS, INC.
December 8, 2005 - November 24, 2010
BMO HARRIS FINANCIAL ADVISORS, INC.
August 23, 2004 - December 31, 2005
HARRISDIRECT LLC
August 23, 2004 - December 31, 2005
HARRISDIRECT LLC
July 2, 1998 - August 16, 2004
CHARLES SCHWAB & CO., INC.
December 9, 1991 - August 16, 2004
CHARLES SCHWAB & CO., INC.
May 17, 1991 - June 24, 1991
ADAMS, COHEN SECURITIES INC.
February 28, 1991 - June 12, 1991
ROBERT THOMAS SECURITIES, INC
May 11, 1990 - January 2, 1991
INVESTMENT NETWORK, INC.
November 14, 1980 - September 7, 1989
FIDELITY BROKERAGE SERVICES LLC
January 3, 1977 - November 15, 1980
AMERIPRISE ADVISOR SERVICES, 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
Series 12
Date: 2/20/1982
NYSE Branch Manager ExaminationCurrent 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 |
|---|---|---|
| 01/26/2024 |
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.
