Susan B. Pearlman
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.
Susan Beth Pearlman, who also goes by Susan B Pearlman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2012 - May 22, 2019
SUMMIT FINANCIAL GROUP INC
July 20, 2012 - May 22, 2019
SUMMIT BROKERAGE SERVICES, INC.
September 18, 2008 - July 23, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - October 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 25, 1986 - January 3, 2008
A. G. EDWARDS & SONS, INC.
February 27, 1986 - September 9, 1986
KUHNS BROTHERS & LAIDLAW, INC.
July 26, 1984 - March 4, 1986
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
