John C. Pernell

POLARIS INVESTMENT PARTNERS,

Mount Pleasant, SC 29464

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CRD#: 1146694

Professional summary

John Cleveland Pernell JR, who also goes by John Cleveland Pernell Jr., is a registered financial advisor currently at POLARIS INVESTMENT PARTNERS, INC located in Mount Pleasant, South Carolina and POLARIS PRIVATE PLACEMENTS, LLC located in Mt. Pleasant, South Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. John has worked at 9 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Cleveland Pernell Jr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

POLARIS PRIVATE MANAGERS, LTD. INVESTMENT RELATED--Acts as General Partner or business manager of private funds. The Adviser & this firm operate as a single advisory business under common control. Mr. Pernell is CEO of both firms since 1990. Mount Pleasant, SC POLARIS PRIVATE PLACEMENTS, LLC ("PPP") INVESTMENT RELATED--A limited-purpose FINRA BD approved to sell private funds in primary distributions and conduct private placement of securities. Business and potential clients targeted are distinct from the Adviser, Polaris Investment Partners, Inc. If an Adviser client should choose to participate in a PPP transaction via Mr. Pernell in his BD capacity, specific costs would be explained, and Mr. Pernell would be committed to acting in an Adviser client's best interest at all times. Mr. Pernell is Managing Director, CCO, and a Registered Representative. Mount Pleasant, SC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Cleveland Pernell JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 31, 2025 - Present

POLARIS INVESTMENT PARTNERS, INC

Office #1: 735 Johnnie Dodds Blvd Suite 105, Mount Pleasant, SC 29464

RIA

CRD#: 106711

Mount Pleasant, SC

Current

July 3, 2018 - Present

POLARIS PRIVATE PLACEMENTS, LLC

Office #1: 735 Johnnie Dodds Blvd Suite 105, Mt. Pleasant, SC 29464Office #2: 825 Lowcountry Blvd. Suite 206, Mt. Pleasant, SC 29464

CRD#: 288104

Mt. Pleasant, SC

Past

August 18, 2006 - December 31, 2006

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

January 2, 2003 - June 29, 2004

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

June 19, 1996 - December 1, 2000

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

January 9, 1996 - December 31, 2024

POLARIS INVESTMENT PARTNERS, INC

RIA

CRD#: 106711

MOUNT PLEASANT, SC

Past

May 11, 1993 - May 1, 1995

MARSH, BLOCK & CO. INC.

CRD#: 11194

NEW YORK, NY

Past

April 19, 1991 - May 8, 1991

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

April 7, 1987 - November 2, 1990

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

July 21, 1983 - March 4, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(1/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 5/4/2018

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 4/17/2018

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 3

Date: 7/27/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

POLARIS INVESTMENT PARTNERS, INC

CRD#: 106711 / SEC#: 801-38199

RIA

Registered Investment Advisory firm - (11/29/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (11/28/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

735 Johnnie Dodds Blvd Suite 105, Mount Pleasant, SC 29464

Mailing Address

Phone number

(843) 414-4000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 15,744,130

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

John C. Pernell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Cleveland Pernell JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

POLARIS PRIVATE PLACEMENTS, LLC

TERRANOVA CAPITAL EQUITIES, INC

B. RILEY WEALTH MANAGEMENT

AMERICAN CAPITAL CORPORATION

POLARIS INVESTMENT PARTNERS, INC

MARSH, BLOCK & CO. INC.

ING INVESTMENT MANAGEMENT SERVICES LLC

ABN AMRO SECURITIES LLC

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1983

SIE

Date: 10/1/2018

Series 62

Date: 5/4/2018

Series 22

Date: 4/17/2018

Series 3

Date: 7/27/2010

Series 7

Date: 7/16/1983

Series 24

Date: 5/24/2018

FINRA

Current Firm

POLARIS INVESTMENT PARTNERS, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

POLARIS INVESTMENT PARTNERS, INC

TRUST BUT VERIFY

Contact information

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