Jay T. Pearson
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.
Jay Thomas Pearson was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1984. Jay had worked at 12 firms and has passed the Series 65, Series 63 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
August 21, 2013 - December 5, 2013
CETERA INVESTMENT ADVISERS LLC
May 23, 2013 - December 5, 2013
CETERA FINANCIAL SPECIALISTS LLC
March 10, 2011 - June 24, 2011
FBR INVESTMENT SERVICES, INC.
December 13, 2005 - February 4, 2011
THORNBURG INVESTMENT MANAGEMENT INC
October 16, 2001 - November 16, 2010
THORNBURG SECURITIES LLC
April 1, 1999 - August 15, 2000
MESIROW FINANCIAL, INC.
April 22, 1998 - January 26, 1999
NYLIFE DISTRIBUTORS LLC
December 11, 1994 - October 14, 1997
BOSTON CAPITAL SECURITIES, INC.
June 30, 1994 - October 14, 1994
BRAUVIN SECURITIES, INC.
November 29, 1993 - April 25, 1994
WATERSTONE FINANCIAL GROUP, INC.
April 11, 1985 - December 5, 1991
JMB SECURITIES CORPORATION
February 27, 1984 - March 28, 1984
OBERWEIS SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
