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Thomas Michael Kapaun

PFS Investments Inc.

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About Thomas Michael Kapaun

Thomas Kapaun is a financial advisor with PFS Investments Inc. with a wealth of experience in the financial services industry. Thomas has been in the industry since 2002. Thomas has a broad range of experience in serving individual clients, and working with corporations. Thomas has also worked with charitable organizations. Thomas Kapaun is registered with the state of Colorado to provide both investment advisory and brokerage services.

Firm Information

Thomas Kapaun 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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Thomas Kapaun’s Registration & Firm History

CO

02/03/2025 - Present

PFS Investments Inc. (LONGMONT CO)

CO

01/02/2014 - 10/29/2015

PFS INVESTMENTS INC. (LOVELAND CO)

CO

06/07/2012 - 12/17/2012

WADDELL & REED, INC. (DENVER CO)

CO

06/16/2009 - 12/31/2011

PFS INVESTMENTS INC. (LAKEWOOD CO)

CO

10/21/2005 - 02/15/2008

H.D. VEST INVESTMENT SERVICES (BERTHOUD CO)

GA

06/30/1997 - 12/31/2003

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 07/25/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/28/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/17/1997

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/28/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Michael Kapaun.
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