Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHARLES FUTEL JR
CRD#: 1201636
IA
Investment Adviser
B
Broker
PRIMERICA ADVISORSCRD#: 10111 4555 LAKEFOREST DRIVE
#650
CINCINNATI, OH 45242
Registration History
198519901995200020052010201520202025IAPRIMERICA ADVISORS (CRD# 10111)2011 - Present (13 years)BPFS INVESTMENTS INC. (CRD# 10111)1983 - Present (41 years)
Disclosure(s)
View By:
7/28/2017
Judgment / Lien
6/13/2017
Judgment / Lien
10/12/2015
Judgment / Lien
2/19/2014
Judgment / Lien
1/26/2009
Judgment / Lien
5/17/2002
Judgment / Lien
License(s)

State Registrations

B
Colorado 3/15/2023
B
North Carolina 9/3/2020
B
Indiana 1/10/1994
B
Ohio 10/28/1983
B
Kentucky 11/1/1983
IA
Ohio 11/7/2011
B
New York 3/7/2021
IA
Texas 8/27/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIMERICA ADVISORS (CRD#:10111)
4555 LAKEFOREST DRIVE #650, CINCINNATI, OH 45242
CINCINNATI, OH
Registered with this firm since 11/7/2011
B
PFS INVESTMENTS INC. (CRD#:10111)
4555 LAKEFOREST DRIVE #650, CINCINNATI, OH 45242
CINCINNATI, OH
Registered with this firm since 10/27/1983
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.