M David Pearlman

CRD 1231360 · Wells Fargo Advisors · Beverly Hills, CA

IA RegisteredBroker

Also appears in the source record as: David Marshall Pearlman; Marshall David Pearlman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (15): Arizona · California · District Of Columbia · Florida · Georgia · Kentucky · Massachusetts · Montana · Nevada · New York · North Carolina · Ohio · Oregon · Texas · Washington
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1231360 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (8)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Beverly Hills, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Beverly Hills, CA · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Beverly Hills, CA · IA capacity

Jun 16, 2000 → Feb 16, 2010
Ubs Financial Services Inc.
Beverly Hills, CA · BC capacity

May 26, 2000 → Feb 16, 2010
Sutro & Co. Incorporated
San Francisco, CA · BC capacity

Feb 27, 1992 → Mar 31, 1994
Rsr Capital Group, Inc.
BC capacity

Dec 14, 1990 → Mar 9, 1992
Robert Thomas Securities, Inc
St. Petersburg, FL · BC capacity

Feb 1, 1990 → Dec 12, 1990
Municicorp Of California
Woodland Hills, CA · BC capacity

Apr 12, 1984 → Feb 24, 1990

Source & corrections

Where this page comes from

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