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M DAVID PEARLMAN
DAVID MARSHALL PEARLMAN, MARSHALL DAVID PEARLMAN
CRD#: 1231360
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 433 N CAMDEN DR 9TH FL
BEVERLY HILLS, CA 90210
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2010 (9 years)2 FIRMS2010 - Present (15 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)1994 - 2001 (7 years)BSUTRO & CO. INCORPORATED (CRD# 801)1992 - 1994 (2 years)BRSR CAPITAL GROUP, INC. (CRD# 27309)1990 - 1992 (1 year)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1990 - 1990 (<1 year)BMUNICICORP OF CALIFORNIA (CRD# 7184)1984 - 1990 (5 years)
Disclosure(s)
View By:
2/14/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 11/14/2011

B
Nevada 2/11/2010

B
California 2/11/2010

B
New York 4/15/2021

IA
California 2/11/2010

B
North Carolina 2/11/2010

B
District of Columbia 1/15/2025

B
Ohio 6/6/2012

B
Florida 2/11/2010

B
Oregon 3/4/2020

B
Georgia 4/28/2011

IA
Texas 6/19/2015

B
Kentucky 10/19/2022

B
Texas 6/24/2015

B
Massachusetts 2/11/2010

B
Washington 2/11/2010

B
Montana 2/19/2021

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
433 N CAMDEN DR 9TH FL, BEVERLY HILLS, CA 90210
SAN DIMAS, CA
Registered with this firm since 2/11/2010

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
433 N CAMDEN DR 9TH FL, BEVERLY HILLS, CA 90210
SAN DIMAS, CA
Registered with this firm since 2/11/2010

Previous Registration(s)
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IA
06/16/2000 - 02/16/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
05/26/2000 - 02/16/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
03/07/1994 - 04/05/2001 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
02/27/1992 - 03/31/1994 SUTRO & CO. INCORPORATED (CRD#:801) SAN FRANCISCO, CA
B
12/14/1990 - 03/09/1992 RSR CAPITAL GROUP, INC. (CRD#:27309)
B
02/01/1990 - 12/12/1990 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
B
04/12/1984 - 02/24/1990 MUNICICORP OF CALIFORNIA (CRD#:7184) WOODLAND HILLS, CA
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.