Dale S. Pearlman
Professional summary
Dale Scott Pearlman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dale is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Dale had worked at 5 firms, which includes BACK BAY CAPITAL INC., FOX & COMPANY INVESTMENTS INC., FINANCE 500 INC., IRVINE SECURITIES INC., NEWPORTFOLIOS SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2003 - November 10, 2003
BACK BAY CAPITAL, INC.
July 5, 2000 - April 16, 2003
FOX & COMPANY INVESTMENTS INC.
May 27, 1998 - February 19, 1999
FINANCE 500, INC.
November 14, 1995 - June 26, 1996
IRVINE SECURITIES, INC.
July 12, 1990 - August 10, 1990
NEWPORTFOLIOS SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 15
Date: 1/13/1987
Foreign Currency Options ExaminationCurrent Firm
BACK BAY CAPITAL, INC.
CRD#: 22824 / SEC#: , 8-39991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ACCESS PARTNERS, LLC | OWNER | |
| CARAZOLEZ, ALBERT TOMMIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2204105 |
| GOROS, WILLIAM FREDERICK | VICE PRESIDENT |
Disclosures
| Regulatory Event | 4 |
Red Flags
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