BP
Barry M. Pearl
CARTER, TERRY & COMPANY
Atlanta, GA 30305
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CRD#: 833901
BP
Professional summary
Barry Martin Pearl is a registered financial professional currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
Barry is registered as a RR (Registered Representative) and started their career in finance in 1977. Barry has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, PC, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Barry Martin Pearl's CRS (Customer Relationship Summary).
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
Current
May 22, 2014 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
April 30, 2012 - May 23, 2014
FTX CAPITAL MARKETS LLC
BD
CRD#: 158816
ATLANTA, GA
Past
November 23, 2009 - May 2, 2012
SLOAN SECURITIES CORP.
BD
CRD#: 17930
ATLANTA, GA
Past
April 11, 2008 - February 16, 2010
THOMAS GROUP CAPITAL
BD
CRD#: 112901
ATLANTA, GA
Past
August 31, 2005 - August 24, 2007
TETON INVESTMENT PARTNERS, LLC
BD
CRD#: 122569
ATLANTA, GA
Past
March 8, 1996 - August 26, 2005
NEOVEST TRADING
BD
CRD#: 39798
NEW YORK, NY
Past
June 17, 1994 - March 19, 1996
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
BD
CRD#: 14538
TAMPA, FL
Past
October 14, 1988 - June 28, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
February 19, 1979 - October 20, 1988
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Past
September 26, 1978 - February 28, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
December 16, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
BD
CRD#: 6802
Past
March 1, 1977 - January 19, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
District of Columbia(2/22/2024)
RR
Florida(5/22/2014)
RR
Georgia(5/22/2014)
RR
New York(5/22/2014)
RR
Puerto Rico(9/19/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/29/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
PC
Date: 11/29/1982
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
