Richard S. Pearson

PEARSON ASSET MANAGEMENT COMPANY

West Palm Beach, FL

Some features on this profile are disabled

CRD#: 1276044

Professional summary

Richard Scott Pearson is a registered financial advisor currently at PEARSON ASSET MANAGEMENT COMPANY located in West Palm Beach, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Richard has worked at 1 firm and has passed the Series 65 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Associate Professor of Finance at Palm Beach Atlantic University. He teaches courses in finance and related business topics. Related to this role, he also conducts academic research, makes academic presentations, and develops online teaching materials and tools in his areas of expertise.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Pearson'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

July 7, 2004 - Present

PEARSON ASSET MANAGEMENT COMPANY

RIA

CRD#: 122558

West Palm Beach, FL

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

Florida
(7/12/2004)

IAR

Ohio
(7/7/2004)

IAR

South Carolina
(8/18/2009)

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

IAR

Series 65

Date: 7/12/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 11/29/1995

Non-Member General Securities Examination

Current Firm

PEARSON ASSET MANAGEMENT COMPANY

PEARSON ASSET MANAGEMENT COMPANY | VALUE VIEW FINANCIAL CORP.

CRD#: 122558 / SEC#:

Florida

Registered Investment Advisory firm - (1/10/1996 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2021 Terminated)

Ohio

Registered Investment Advisory firm - (8/7/2003 Approved)

South Carolina

Registered Investment Advisory firm - (7/21/2009 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

West Palm Beach, FL

Mailing Address

Phone number

(407) 538-1881

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 3,820,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard S. Pearson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Scott Pearson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEARSON ASSET MANAGEMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2004

Series 2

Date: 11/29/1995

Current Firm

PEARSON ASSET MANAGEMENT COMPANY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PEARSON ASSET MANAGEMENT COMPANY

TRUST BUT VERIFY

Similar Advisors