Joseph Kevin Pearson
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kevin Pearson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
Contact Information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103Phone Number
(734) 663-1611# of Employees
471SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
26,433AUM (Assets Under Management)
$6,102,465,817Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
State Registrations and Notice Filings
(1/24/2014)
(1/24/2014)
(1/24/2014)
(1/24/2014)
(6/1/2009)
(8/11/2015)
(8/11/2015)
(6/1/2009)
(6/1/2009)
(10/26/2010)
(6/1/2009)
(8/10/2022)
(1/24/2014)
(1/24/2014)
(6/1/2009)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2002About the Series 9 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Kevin Pearson's CRS (Customer Relationship Summary).
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