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Carol Upton Crain

PFS Investments Inc.

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About Carol Upton Crain

Carol Upton Crain is a registered investment advisor representative with PFS Investments Inc. based in Bethel, Connecticut. Carol is a veteran in the financial industry with over 25 years of experience. Carol is also a registered representative with PFS Investments Inc. and has held licenses in several states, including Connecticut, Florida, Massachusetts, New York, and Pennsylvania. Carol has a strong track record of success in providing financial advice to individuals, families, and businesses. Her areas of expertise include investment planning, retirement planning, and estate planning. Carol is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Carol Crain is currently registered with PFS Investments Inc.. PFS Investments Inc. is a Corporation that was formed in 1981 and is headquartered in Duluth, GA. The firm provides portfolio management for individuals. They manage approximately $8,461,983,895 in regulatory assets for 59,808 total accounts. PFS Investments Inc. is registered with the SEC and in 53 states.
PFS Investments Inc.

1 PRIMERICA PARKWAY

DULUTH, GA 30099-0001

$8.46B

Assets Under Management

Not reported

Total Clients

17,935

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carol Crain’s Registration & Firm History

CT

04/28/2012 - Present

PFS Investments Inc. (BETHEL CT)

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Licenses & Designations

IA

Issued 03/28/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/26/1999

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Upton Crain.
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