Pearl Shaeffer
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 Shaeffer, who also goes by Pearl Trejo Lawrence, Pearl Lawrence, Pearl Trejo Murphy, Pearl Murphy, Pearl Trejo, was a registered financial professional .
Pearl is a previously registered financial professional and started their career in finance in 2005. Pearl had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2020 - August 23, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 2, 2015 - July 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2015 - July 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2014 - November 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2012 - November 7, 2013
LPL FINANCIAL LLC
August 22, 2005 - April 9, 2012
U.S. BANCORP ADVISORS, LLC
February 28, 2005 - July 25, 2005
CITICORP INVESTMENT SERVICES
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
