Jack R. Pearse
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jack Riley Pearse, who also goes by (jr) Jack Riley Pearse, Jack Riley Pearse Jr, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1981. Jack had worked at 11 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2013 - April 4, 2014
FIDELITY BROKERAGE SERVICES LLC
November 20, 2007 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
June 28, 2004 - September 5, 2007
FIDELITY BROKERAGE SERVICES LLC
September 3, 2002 - December 1, 2003
EMPIRE FINANCIAL GROUP, INC.
January 23, 2001 - September 5, 2002
RUSHMORE SECURITIES CORPORATION
July 28, 1998 - February 27, 2001
NORTHSTAR SECURITIES, INC.
November 6, 1995 - December 9, 1998
DOMINION CAPITAL CORPORATION
August 8, 1990 - August 3, 1995
MORGAN STANLEY DW INC.
July 6, 1990 - August 3, 1990
METLIFE INVESTORS DISTRIBUTION COMPANY
April 11, 1990 - December 21, 1990
SECURITIES AMERICA, INC.
July 16, 1986 - August 30, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1981 - July 14, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
