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Phyllis Helen Caputo

PFS Investments Inc.

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About Phyllis Helen Caputo

Phyllis Caputo has been in the financial services industry since 2006 and is currently registered with PFS Investments Inc. Phyllis is a registered representative and investment advisor representative, licensed in multiple states, including New Jersey, New York, Pennsylvania and North Carolina. Phyllis has a strong background in investments and financial planning and provides portfolio management for individuals. She holds several professional licenses, including Series 6, 63, 65 and 26. In addition to her work with PFS Investments Inc., Phyllis may also receive non-investment related compensation from Primerica Mortgage, LLC and Primerica Client Services, Inc. for the sale of loan products and/or referrals of home security and automation products, as well as other home related services.

Firm Information

Phyllis Caputo 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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Phyllis Caputo’s Registration & Firm History

NJ

07/29/2011 - Present

PFS Investments Inc. (BRICK NJ)

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Licenses & Designations

IA

Issued 03/31/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/04/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/08/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/18/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Phyllis Helen Caputo.
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