Neil Sternberg

Employer firm

Pfs Investments Inc. CRD 10111

$15.5B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2004 → Present
  Primerica Financial Services
  Bloomingdale, IL
• 10/2022 → Present
  Pfs Investments Inc.
  Bloomingdale, IL

Other Businesses

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. Leadwell Team, LLC., Not investment related, Roselle, IL 60172, President & Owner, 12/2015 to Present, 40 hours committed per month (5 hours during securities trading hours). Sternberg Legacy, Inc., Investment related, Roselle, IL 60172, Primerica business purposes, Owner/president, 09/29/2022 to Present, 160 hours committed per month (150 hours during securities trading hours), Legal entity formed solely for Primerica business purposes.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-01-25
• S63 Uniform Securities Agent State Law Examination
  2022-11-17

Other Names

• Neil Alan Sternberg