Pearl K. Thompson
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.
Pearl Klande Thompson was a registered financial professional .
Pearl is a previously registered financial professional and started their career in finance in 1970. Pearl had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2000 - December 12, 2005
BROOKSTREET SECURITIES CORPORATION
September 30, 1999 - November 2, 2000
INTERFIRST CAPITAL CORPORATION
February 13, 1990 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
January 22, 1990 - February 13, 1990
W.J. GALLAGHER & COMPANY, INC.
August 15, 1988 - January 29, 1990
FIRST WILSHIRE SECURITIES, INC.
March 27, 1985 - August 26, 1988
DRAKE & COMPANY, INC.
August 7, 1975 - April 8, 1985
FIRST WILSHIRE SECURITIES, INC.
May 18, 1972 - June 30, 1974
WHITE, WELD & CO. INCORPORATED
March 8, 1971 - July 28, 1972
BACHE & CO INCORPORATED
December 23, 1970 - April 25, 1971
GOODBODY & CO. INCORPORATED
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: 2/7/1966
Registered Representative ExaminationCurrent Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
