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Detailed Report
MARC HAROLD PEARL
CRD#: 4242478
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200220042006200820102012201420162018IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2015 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2012 - 2013 (1 year)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2012 (3 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2003 - 2009 (6 years)IALONDON PACIFIC ADVISORS (CRD# 104601)2002 - 2002 (<1 year)
Disclosure(s)
View By:
5/8/2017
Regulatory
Final
4/20/2017
Regulatory
Final
8/10/2015
Customer Dispute
Settled
1/12/2012
Employment Separation After Allegations
1/12/2012
Employment Separation After Allegations
Previous Registration(s)
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 10/31/2013 - 06/29/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) AUBURN, CA
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 02/24/2012 - 12/02/2013 LPL FINANCIAL LLC (CRD#:6413) EL DORADO HILLS, CA
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 01/02/2009 - 01/13/2012 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) FOLSOM, CA
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 01/16/2003 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) FOLSOM, CA
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 03/19/2002 - 06/20/2002 LONDON PACIFIC ADVISORS (CRD#:104601) WEST SACRAMENTO, CA
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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.
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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.