John B. Pearson
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.
John Breckinridge Pearson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 3 firms and has passed the Series 63, Series 55, 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
June 15, 1995 - September 20, 2002
SELF TRADING SECURITIES, INC.
December 9, 1993 - March 7, 1995
IDS LIFE INSURANCE COMPANY
December 9, 1993 - March 7, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 55
Date: 9/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
SELF TRADING SECURITIES, INC.
CRD#: 38439 / SEC#: , 8-48250
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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