Martin W. Pernoll
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.
Martin William Pernoll, who also goes by Bud Pernoll, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1993. Martin had worked at 4 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - December 31, 2017
BAY MUTUAL FINANCIAL, LLC
June 20, 2005 - December 31, 2014
BAY MUTUAL FINANCIAL, LLC
September 20, 2004 - January 29, 2016
BAY MUTUAL FINANCIAL, LLC
July 1, 2003 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - October 4, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 18, 1993 - April 26, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BAY MUTUAL FINANCIAL, LLC
CRD#: 130535 / SEC#: 801-72074, 8-66358
Contact information
Regulatory assets under management
| Total Number of Accounts | 71 |
| AUM (Assets Under Management) | $ 25,403,214,863 |
Disclosures
| Regulatory Event | 1 |
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.
