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Investment Adviser Firm Summary

PEARSON AND ASSOCIATES, LLC (CRD# 130143)
Alternate Names: PEARSON AND ASSOCIATES, LLC , PEARSON FINANCIAL SERVICES , PEARSON, SETH MICHAEL

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Colorado Approved 08/09/2018
Connecticut Approved 03/19/2018
Florida Approved 12/04/2006
Maine Approved 10/23/2007
Massachusetts Approved 11/23/1996
New Hampshire Approved 10/11/2007
New Jersey Approved 09/22/2017
New York Approved 03/30/2018
Rhode Island Approved 08/29/2007
Texas Conditional Restricted 07/14/2017
Vermont Approved 09/18/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


Not Currently Notice Filed


EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser