Anthony R. 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.
Anthony Robert Pearson was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 1970. Anthony had worked at 12 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2007 - July 1, 2008
CROWELL, WEEDON & CO.
August 21, 2006 - July 1, 2008
CROWELL, WEEDON & CO.
July 8, 1997 - October 17, 2005
MORGAN STANLEY DW INC.
February 1, 1990 - October 17, 2005
MORGAN STANLEY DW INC.
May 27, 1988 - January 13, 1990
CITIGROUP GLOBAL MARKETS INC.
August 10, 1984 - June 7, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
July 8, 1983 - August 28, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 2, 1981 - August 11, 1983
LPL FINANCIAL LLC
September 19, 1975 - September 12, 1981
LPL FINANCIAL LLC
April 24, 1974 - August 3, 1974
SECURITIES EXCHANGE INC
September 18, 1973 - November 29, 1973
L. G. VICTORS GOLD & COMPANY
January 5, 1972 - March 5, 1976
CABOT SHAW INCORPORATED
September 23, 1971 - November 12, 1976
ROBERTS, SCOTT & CO., INC.
December 17, 1970 - September 17, 1971
FINANCIAL EQUITIES, LTD.
October 19, 1970 - January 9, 1971
JONES, RENSBERGER & CO., 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
PC
Date: 11/18/1987
AMEX Put and Call ExamSeries 1
Date: 9/9/1968
Registered Representative ExaminationCurrent Firm
CROWELL, WEEDON & CO.
CRD#: 193 / SEC#: 801-67246, 8-3710
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMES, RALPH HERBERT | GENERAL PARTNER | 4399 |
| BELLESILES, JACQUES ERNEST | GENERAL PARTNER | 17599 |
| BLAND, DAVID LEE | GENERAL PARTNER | 1099854 |
| CARLSON, RODNEY CHARLES | GENERAL PARTNER | 2285986 |
| CHRISTOPHER, DOUGLAS ANDREA | GENERAL PARTNER | 1995432 |
| COUNCIL, WILLIAM MICHAEL | GENERAL PARTNER | 848504 |
| CRONK, JAMES LEE | GENERAL PARTNER/COO | 1104799 |
| CROWELL, ANDREW EDWARD | GENERAL PARTNER/CEO | 1288101 |
| CROWELL, DONALD WARREN JR | GENERAL PARTNER | 1320520 |
| DOUD, CHARLES OREILLY | GENERAL PARTNER | 70836 |
| DOUD, THOMAS JOSEPH | GENERAL PARTNER | 2758142 |
| DOUGHERTY, JAMES WEAVER | GENERAL PARTNER | 1620921 |
| DOYEL, DENNIS MICHAEL | GENERAL PARTNER | 1789529 |
| FUNG, EDDIE SHU | GENERAL PARTNER | 2622816 |
| GINSBERG, KLINDT EMIL | GENERAL PARTNER | 1846752 |
| GRIFFIN, ALAN MILES | GENERAL PARTNER | 853835 |
| GROSSMAN, ALAN JAY | GENERAL PARTNER | 1225441 |
| HALES, JOHN MORRIS | GENERAL PARTNER | 233868 |
| HARRIS, ROBERT CARROLL | GENERAL PARTNER | 1083781 |
| HASSAN, ROBERT HARRIS | GENERAL PARTNER | 833059 |
| HOOD, THOMAS JAMES | GENERAL PARTNER | 1297995 |
| JACKSON, STEVEN CHARLES | GENERAL PARTNER | 1358825 |
| KARANTONIS, ANTONIOS | GENERAL PARTNER / CFO | 2331154 |
| KRUGER, JAMES ROY | GENERAL PARTNER/CHIEF COMPLIANCE OFFICER | 1171805 |
| KURATOMI, LINDA KEIKO | GENERAL PARTNER | 1258198 |
| MORITZ, THOMAS ANDREW | GENERAL PARTNER | 1864800 |
| MULLIGAN, STEVEN JAMES | GENERAL PARTNER | 2372962 |
| OLEARY, JOSEPH LENNON | GENERAL PARTNER | 2357537 |
| PAULSON, THEODORE RUSSELL | GENERAL PARTNER | 358333 |
| RAGAN, JAMES DARRELL | GENERAL PARTNER | 1513433 |
| REITNOUER, JOHN FREDERICK | GENERAL PARTNER | 1796658 |
| REITNOUER, LYNN PAUL | GENERAL PARTNER | 373927 |
| ROBBINS, KENNETH WILLIAM | GENERAL PARTNER | 2588039 |
| SWANSON, SCOTT MICHAEL | GENERAL PARTNER | 2198688 |
| THOMAS, DANIEL SCOTT | GENERAL PARTNER | 2195656 |
| TODD, BLAKE TRAMILL | GENERAL PARTNER | 702561 |
| WEST, THOMAS WESLEY | GENERAL PARTNER | 1162385 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 9 |
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.
