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DP

Dianne E. Pearson

STERLING SMITH
HOUSTON, TX
Some features on this profile are disabled
CRD#: 2475624
DP

Professional summary

Dianne Elaine Pearson, who also goes by Dianne E Pearson, is a registered financial professional currently at STERLING SMITH CORPORATION located in Houston, Texas.

Dianne is registered as a RR (Registered Representative) and started their career in finance in 2011. Dianne has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dianne E Pearson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dianne Elaine Pearson'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

August 17, 2011 - Present

STERLING SMITH CORPORATION

BD
CRD#: 38041
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Texas
(8/17/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 3/5/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/3/2013
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/22/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STERLING SMITH CORPORATION
STERLING SMITH CORPORATION

CRD#: 38041 / SEC#: , 8-48058

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4326a Scotland, Houston, TX 77007
Mailing Address
4326a Scotland, Houston, TX 77007
Phone number
(713) 861-6500
Established
Texas since 01/25/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMITH, STERLING RICHARDPRESIDENT/DIRECTOR/CO/IBDP/CCO/CFO/F&O PRINCIPAL/OP PROF/PFO/POO/IBP/FI1008425

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.

Company Information

STERLING SMITH CORPORATION

CRD#: 38041Houston, TX

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