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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:

Current Employers
Pfs Investments Inc.

1 Primerica Parkway, Duluth, GA 30099-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2011-08-01
  • IA RA
    APPROVED
    Since 2011-08-01

Branch Locations

1000 73Rd St Ste 11, West Des Moines, IA 50265 • United States

West Des Moines, IA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pfs Investments Inc. West Des Moines IA 11/1982 Present
Primerica Financial Services West Des Moines IA 02/1991 Present
  • 11/1982 → Present
    West Des Moines, IA
  • 02/1991 → Present
    Primerica Financial Services
    West Des Moines, IA
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. Rental Property, Owner W/Spouse, 10/2012 to Present. Rental Income, Rent out condo to tenants, 2008 to Present. Dennis Way and Associates, Inc., Investment related, West Des Moines, IA 50265, Primerica Business Purposes, Owner/President, 6/5/2003 to Present, 160 hours committed per month (140 hours during securities trading hours), Legal entity formed solely for Primerica business purposes. First Iowa Homes, Inc., Not investment related, West Des Moines, IA 50266, Partner, 04/2020 to Present, 4 hours committed per month (2 hours during securities trading hours), Legal entity formed for real estate investing. LDD Enterprises, Inc., Investment related, West Des Moines, IA 50266, Partner, 12/2007 to Present, 4 hours committed per month (2 hours during securities trading hours), Legal entity formed for rental properties.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-21
S63 Uniform Securities Agent State Law Examination 1980-07-03
  • S65 Uniform Investment Adviser Law Examination
    2011-03-21
  • S63 Uniform Securities Agent State Law Examination
    1980-07-03

View on SEC IAPD

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