Role at PFS Investments
- Title on Schedule A
- Executive Vice President and Chief Compliance Officer
- Control
- Daniel Woodring is a control person of PFS Investments.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Daniel Woodring has held the filed role since January 2011.
The firm
Form ADV filed 8 September 2026
Career on record
Daniel Woodring has been registered through PFS Investments since April 2001.
- Passed Series 52TO · 2025
- Passed Series 14 and Series 99TO · 2023
- Passed SIE · 2018
- Passed Series 66 · 2011
- Passed Series 7, Series 24 and Series 53 · 2003
- Passed Series 63, Series 6 and Series 26 · 2001
- Pfs Investments Inc.Current– present · 26 yearsSuwanee, GA · Adviser representative and broker · Firm CRD 10111
- Passed Series 27 · 1999
Registrations and exams
Daniel Woodring has a current investment-adviser registration in Georgia and has passed 12 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Georgia | Investment adviser representative | Approved | 14 October 2011 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 6 October 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 May 2001 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 53 | Municipal Securities Principal Examination | 11 August 2003 |
| Series 24 | General Securities Principal Examination | 12 March 2003 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 1 June 2001 |
| Series 27 | Financial and Operations Principal Examination | 12 November 1999 |
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 24 February 2003 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 May 2001 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Daniel Aaron Woodring
- CRD
- 4028705
- Registration status
- Investment adviser and broker registrations
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Daniel Woodring work?
Daniel Woodring has been Executive Vice President and Chief Compliance Officer of PFS Investments Inc. since January 2011, and is a control person of the firm.
Is Daniel Woodring a financial advisor?
Yes. Daniel Woodring has a current investment-adviser registration in Georgia, through PFS Investments since April 2001, as of 17 October 2026.
How many years of experience does Daniel Woodring have?
Daniel Woodring has worked in the financial industry for 26 years as of 17 October 2026, counted from 1 January 2000, across 1 adviser firm.
What exams has Daniel Woodring passed?
Daniel Woodring has passed 12 licensing exams: the Series 27, Series 63, Series 6, Series 26, Series 7, Series 24, Series 53, Series 66, SIE, Series 14, Series 99TO and Series 52TO. The earliest, the Series 27, was passed in November 1999.
Leadership at PFS Investments
- Misty Michelle SuttonPresident, Director and Chief Executive Officer
- Dasia Deborah ColeyVice President and Chief Financial Officer
- Nicholas Adam JendusaExecutive Vice President
- Michael LesutisSenior Vice President & Chief Counsel
- Deborah Lynn MillerExecutive Vice President
- William James NemetzDirector; Executive Vice President, Chief Operating Officer
- Lori Allison RivetExecutive Vice President
- Karen Lynn SukinExecutive Vice President and General Counsel
- Brian Steven WeigleDirector and Executive Vice President
- Michael Kurt WellsExecutive Vice President & Treasurer