Robert S. Pearce

CONNING

Hartford, CT 06103

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CRD#: 1991468

Professional summary

Robert Stedman Pearce is a registered financial advisor currently at CONNING, INC. located in Hartford, Connecticut and CONNING INVESTMENT PRODUCTS, INC. located in Hartford, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 24 and Series 53 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.

BlueBell Diablo Enterprises, LLC Owner of rental property with limited/no duties that is not securities/investment-related; with less than 5 hours/month devoted to this business. 6300 Torino Lane, Myrtle Beach, SC 29572 Chief Compliance Officer for Pearlmark Real Estate LLC, a real estate investment firm and an affiliate of Conning, of 200 West Madison Street #2800, Chicago, IL 60606, beginning March 2023. Role is investment related, and spends 15 hours per month during securities trading hours. Responsibilities include designing, implementing, and monitoring the processes by which the company will comply with all applicable laws and regulations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stedman Pearce'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

November 12, 2009 - Present

CONNING, INC.

Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103

RIA

CRD#: 107423

Hartford, CT

Current

November 8, 2005 - Present

CONNING INVESTMENT PRODUCTS, INC.

Office #1: One Financial Plaza 755 Main Street, Hartford, CT 06103-2627

RIA

CRD#: 120387

Hartford, CT

Past

November 8, 2005 - October 12, 2009

CONNING INVESTMENT PRODUCTS, INC.

RIA

CRD#: 120387

NORTHFIELD, IL

Past

April 28, 2005 - November 7, 2005

ADVEST, INC.

RIA

CRD#: 10

HARTFORD, CT

Past

March 15, 2004 - November 7, 2005

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

June 20, 2003 - March 10, 2004

FAMILY MANAGEMENT SECURITIES, LLC

CRD#: 44319

NEW YORK, NY

Past

November 17, 2000 - June 13, 2003

RDM INVESTMENT SERVICES, LLC

CRD#: 104266

WESTPORT, CT

Past

September 21, 2000 - February 23, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

December 8, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 8, 1998 - October 6, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 14, 1997 - August 27, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

September 18, 1996 - December 4, 1998

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

April 7, 1994 - August 30, 1996

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

January 15, 1993 - December 10, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 2, 1992 - May 8, 1992

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

November 19, 1991 - February 25, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 29, 1990 - November 19, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 25, 1989 - March 12, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 25, 1989 - March 12, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CONNING, INC.

CONNING | CONNING, INC. | CONNING RESEARCH AND CONSULTING | CONNING ASSET MANAGEMENT CO | CONNING ASSET MANAGEMENT

CRD#: 107423 / SEC#: 801-18641

RIA

Registered Investment Advisory firm - (3/21/1983 Approved)

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.

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

California
(2/5/2016)

Connecticut
(11/8/2005)

IAR

Connecticut
(11/12/2009)

Illinois
(3/7/2016)

Massachusetts
(3/15/2016)

New Jersey
(3/28/2016)

New York
(2/8/2016)

South Carolina
(10/10/2024)

Texas
(4/20/2016)

Virginia
(2/10/2016)

Wisconsin
(2/15/2016)

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

State Security Law Exam

IAR

Series 66

Date: 4/27/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/11/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/11/1997

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CONNING, INC.

CONNING | CONNING, INC. | CONNING RESEARCH AND CONSULTING | CONNING ASSET MANAGEMENT CO | CONNING ASSET MANAGEMENT

CRD#: 107423 / SEC#: 801-18641

RIA

Registered Investment Advisory firm - (3/21/1983 Approved)

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Contact information

Main Address

One Financial Plaza 755 Main Street, Hartford, CT 06103

Mailing Address

Phone number

(860) 299-2000

Established

Firm type

Fiscal year end

# of Employees

270

SEC notice filing (5 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 99,533,233,234

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert S. Pearce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stedman Pearce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONNING INVESTMENT PRODUCTS, INC.

CONNING INVESTMENT PRODUCTS, INC.

ADVEST, INC.

ADVEST, INC.

FAMILY MANAGEMENT SECURITIES, LLC

RDM INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

INDEPENDENT FINANCIAL SECURITIES, INC.

IFMG SECURITIES, INC.

GE INVESTMENT DISTRIBUTORS, INC

KIDDER, PEABODY & CO. INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CONNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2005

Series 65

Date: 7/23/1999

Series 63

Date: 5/15/1990

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1989

Series 14

Date: 1/2/2023

Series 4

Date: 7/11/2003

Series 24

Date: 2/5/1998

Series 53

Date: 2/11/1997

FINRA

Current Firm

CONNING, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONNING, INC.

TRUST BUT VERIFY

Contact information

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