Kerry M. Perl
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.
Kerry Michael Perl was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1994. Kerry had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 51 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
March 21, 2016 - June 19, 2017
NUVEEN SECURITIES, LLC
October 12, 2011 - March 21, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 7, 2010 - October 13, 2011
REALTY CAPITAL SECURITIES, LLC
July 2, 2007 - November 20, 2008
BNY MELLON SECURITIES CORPORATION
July 2, 2007 - November 20, 2008
BNY MELLON SECURITIES CORPORATION
June 19, 2006 - July 2, 2007
MBSC, LLC
June 15, 2006 - July 2, 2007
MBSC, LLC
September 1, 2004 - October 13, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
June 21, 2004 - October 13, 2004
BOFA DISTRIBUTORS, INC.
January 1, 2003 - June 21, 2004
BACAP DISTRIBUTORS, LLC
May 7, 2002 - January 1, 2003
STEPHENS
October 14, 1994 - January 1, 2003
STEPHENS
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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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