JP
Jonathan G. Pearl
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CRD#: 6269688
JP
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.
Jonathan Gs Pearl, who also goes by Jonathan Geoffrey Pearl, Jonathan Secora Pearl, Jonathan Geoffrey Secora Pearl, Jonathan Secora Pearl, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2014. Jonathan had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jonathan Geoffrey Pearl | Jonathan Secora Pearl | Jonathan Geoffrey Secora Pearl | Jonathan Secora Pearl
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PERCEPTRAL LLC POSITION: President (previously) NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2008 ADDRESS: 220 Clover Hill ST, Marlborough MA 01752, United States DESCRIPTION: This business is now defunct. Residual income is received in the form of royalties from previously completed work. JUDITH KANIGEL IRREVOCABLE TRUST POSITION: Trustee NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2014 ADDRESS: 220 Clover Hill St, Marlborough MA 01752, United States DESCRIPTION: Manage investments,, and trust holdings, provide reports & distributions, prepare tax documents as needed. ELEVEN LABS POSITION: Data labeler NATURE: Information Technology and Web Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/13/2024 ADDRESS: 169 Madison Ave, #2484, New York NY 10016, United States DESCRIPTION: This is gig work, with no specified hours or number of tasks to complete. I will be given access to a repository of brief audio files (8-15 seconds in length). I am to review any AI-generated transcriptions or notations of the files, compare to the audio, make corrections, amendments, or add my own descriptions as needed.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 14, 2024 - December 31, 2024
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
MARLBOROUGH, MA
Past
November 14, 2024 - May 15, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
MARLBOROUGH, MA
Past
March 19, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Marlborough, MA
Past
March 13, 2019 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Marlborough, MA
Past
March 24, 2014 - March 8, 2019
EDWARD JONES
RIA
CRD#: 250
PROVIDENCE, RI
Past
January 4, 2014 - March 8, 2019
EDWARD JONES
BD
CRD#: 250
PROVIDENCE, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
