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Detailed Report
ROSS D PEARLMAN
ROSS DAVID PEARLMAN, ROSS PEARLMAN
CRD#: 2194887
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 14850 North Scottsdale Road
Suite 600
Scottsdale, AZ 85254
Registration History
19952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2007 (4 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (15 years)BGLOBAL CAPITAL SECURITIES CORP... (CRD# 16184)1993 - 2001 (8 years)BKOBER FINANCIAL CORP. (CRD# 17551)1991 - 1993 (1 year)
License(s)

State Registrations

B
Arizona 6/1/2009
B
Minnesota 1/12/2024
IA
Arizona 8/7/2024
B
New Jersey 1/6/2021
B
California 6/1/2009
B
New Mexico 4/6/2017
B
Colorado 11/24/2014
B
New York 8/7/2018
B
District of Columbia 4/24/2018
B
North Carolina 12/19/2023
B
Florida 6/1/2009
B
Ohio 10/21/2013
B
Georgia 10/30/2020
B
Oregon 1/12/2024
B
Hawaii 1/12/2024
B
Pennsylvania 6/1/2009
B
Idaho 7/2/2009
B
Tennessee 2/16/2021
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Iowa 1/13/2025
IA
Texas 6/1/2009
B
Maine 7/26/2019
B
Utah 1/10/2019
B
Massachusetts 1/12/2024
B
Virginia 4/12/2018
B
Michigan 1/12/2024
B
Washington 7/18/2019

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
14850 North Scottsdale Road Suite 600, Scottsdale, AZ 85254
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/19/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MESA, AZ
B
 10/19/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MESA, AZ
IA
 07/01/2003 - 10/26/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) MESA, AZ
B
 07/01/2003 - 10/26/2007 WACHOVIA SECURITIES, LLC (CRD#:19616) MESA, AZ
IA
 04/26/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) MESA, AZ
B
 04/26/2001 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 01/25/1993 - 05/04/2001 GLOBAL CAPITAL SECURITIES CORPORATION (CRD#:16184) ENGLEWOOD, CO
B
 11/25/1991 - 01/25/1993 KOBER FINANCIAL CORP. (CRD#:17551) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.