Pearl M. Markle
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 Marie Markle, who also goes by Pearl Markle, was a registered financial professional .
Pearl is a previously registered financial professional and started their career in finance in 2008. Pearl had worked at 10 firms and has passed the Series 66, 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
April 20, 2015 - May 20, 2019
CUNA BROKERAGE SERVICES, INC.
April 14, 2015 - May 20, 2019
CUNA BROKERAGE SERVICES, INC.
November 8, 2013 - March 31, 2015
NBC SECURITIES, INC.
October 25, 2013 - March 31, 2015
NBC SECURITIES, INC.
May 14, 2013 - October 23, 2013
SANTANDER SECURITIES LLC
May 14, 2013 - October 23, 2013
SANTANDER SECURITIES LLC
December 21, 2012 - May 1, 2013
PNC WEALTH MANAGEMENT LLC
December 19, 2012 - May 1, 2013
PNC WEALTH MANAGEMENT LLC
May 2, 2012 - August 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2012 - August 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2011 - March 16, 2012
FIFTH THIRD SECURITIES, INC.
January 24, 2011 - March 16, 2012
FIFTH THIRD SECURITIES, INC.
October 15, 2010 - January 7, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 9, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
January 20, 2009 - October 19, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 5, 2008 - January 7, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 4, 2008 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
