Seth M. 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.
Seth Michael Pearson, who also goes by Seth M Pearson, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1973. Seth had worked at 10 firms and has passed the Series 63, SIE, Series 7 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
November 1, 2005 - May 20, 2016
PURSHE KAPLAN STERLING INVESTMENTS
March 23, 2005 - May 24, 2016
PEARSON FINANCIAL SERVICES
March 17, 2000 - November 1, 2005
COMMONWEALTH FINANCIAL NETWORK
February 8, 1995 - November 1, 2005
COMMONWEALTH FINANCIAL NETWORK
March 29, 1988 - March 9, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 11, 1985 - July 23, 1987
MONARCH SECURITIES, INC.
October 10, 1985 - March 17, 2000
COMMONWEALTH FINANCIAL NETWORK
August 22, 1984 - October 3, 1985
MOSELEY SECURITIES CORPORATION
August 13, 1980 - August 22, 1984
THOMSON MCKINNON SECURITIES INC.
September 16, 1977 - June 30, 1980
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
April 18, 1973 - December 26, 1976
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 18, 1973 - December 26, 1976
SIGNATOR INVESTORS, 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
Series 1
Date: 4/14/1973
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
