JP
Joseph K. Pearson
SPC
Slidell, LA 70458
Some features on this profile are disabled
CRD#: 1523817
JP
Professional summary
Joseph Kevin Pearson, who also goes by Kevin Pearson, is a registered financial advisor currently at SPC located in Slidell, Louisiana and SIGMA FINANCIAL CORPORATION located in Slidell, Louisiana.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Pearson
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.
1. DBA - SouthTrust Advisors - providing financial services.
2. THE WEALTH MANAGEMENT GROUP, INC.; SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Kevin 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®
NoneExperience
Current
June 1, 2009 - Present
SPC
Office #1: 460 Brownswitch Rd., Slidell, LA 70458RIA
CRD#: 110692
Slidell, LA
Current
June 1, 2009 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 460 Brownswitch Rd., Slidell, LA 70458BD
CRD#: 14303
Slidell, LA
Past
October 10, 2002 - June 2, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SLIDELL, LA
Past
July 5, 2002 - June 2, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SLIDELL, LA
Past
May 8, 1998 - July 12, 2002
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
May 20, 1991 - May 20, 1998
MARQUIS INVESTMENTS, L.L.C.
BD
CRD#: 17121
Past
November 4, 1987 - May 30, 1991
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
June 24, 1986 - October 9, 1987
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/24/2014)
RR
Arizona(1/24/2014)
RR
Colorado(1/24/2014)
RR
Delaware(1/24/2014)
RR
Florida(6/1/2009)
RR
Georgia(8/11/2015)
RR
Indiana(8/11/2015)
RR
Louisiana(6/1/2009)
IAR
Louisiana(6/1/2009)
RR
Maryland(10/26/2010)
RR
Mississippi(6/1/2009)
RR
Missouri(8/10/2022)
RR
New York(1/24/2014)
RR
Pennsylvania(1/24/2014)
RR
Texas(6/1/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
