Individual Firm
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BARTON S PEARCE
BART S PEARCE, BARTON SCOTT PEARCE
CRD#: 5871524
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 2875 MICHELLE DRIVE
SUITE 110
IRVINE, CA 92606
SUITE 110
IRVINE, CA 92606
0
Disclosures
14
Years of Experience
View By:
State Registrations
B
Arizona 3/14/2019
IA
Massachusetts 6/8/2023
IA
Arizona 3/14/2019
B
Minnesota 8/5/2019
B
California 12/19/2013
IA
Minnesota 8/13/2019
IA
California 1/2/2014
B
Nevada 8/27/2021
B
Illinois 5/10/2023
IA
Nevada 9/10/2021
IA
Illinois 5/18/2023
B
New York 9/11/2023
B
Indiana 3/17/2022
IA
New York 9/13/2023
IA
Indiana 3/21/2022
B
Ohio 1/30/2023
B
Iowa 8/10/2021
IA
Ohio 1/30/2023
IA
Iowa 8/10/2021
B
Washington 8/28/2015
B
Maryland 4/30/2021
IA
Washington 8/28/2015
IA
Maryland 4/30/2021
B
West Virginia 3/6/2024
B
Massachusetts 4/19/2023
IA
West Virginia 3/11/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/2/2014
B
Registered with this firm since 12/19/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/2013 - 12/11/2013 | ONTARIO, CA | |
B | 08/02/2012 - 12/11/2013 | ONTARIO, CA | |
B | 12/20/2010 - 08/07/2012 | RANCHO CUCAMONGA, 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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.