John P. Pierson
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.
John Paul Pierson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 9 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2015 - April 30, 2019
ANNEX WEALTH MANAGEMENT, LLC
December 14, 2009 - December 5, 2022
GROVE POINT INVESTMENTS, LLC
August 9, 1996 - January 4, 2010
SII INVESTMENTS, INC.
December 12, 1994 - August 7, 1996
FFP SECURITIES, INC.
July 15, 1985 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
June 19, 1985 - December 7, 1994
WALNUT STREET SECURITIES, INC.
April 16, 1984 - May 7, 1985
MUTUAL SERVICE CORPORATION
February 28, 1984 - April 16, 1984
GUARDIAN INVESTOR SERVICES LLC
December 16, 1981 - December 12, 1983
OSAIC FS, INC.
Primary Firm SEC Registration
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 5/16/1978
Registered Representative ExaminationCurrent Firm
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19,997 |
| AUM (Assets Under Management) | $ 6,945,737,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 05/22/2024 | ||
| 12/18/2023 | ||
| 03/16/2023 |
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.
