Sean Pearlman

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 01/2021
  National Securities Corporation
  Flushing, NY
• 01/2021 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2021 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2014-05-02 → 2021-01-20
  B. Riley Wealth Advisors, Inc.
  Flushing, NY
• 2008-02-15 → 2014-05-06
  Asset & Financial Planning, Ltd
  Flushing, NY

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 01/04/21 2) PREMIER TAX PLANNING, 107 NORTHERN BLVD, STE 304, GREAT NECK, NY, CPA/ENROLLED AGENT/TAX PREP/ACCOUNTING SERVICES, 01/04/21, NIR, 800 HR/YR- 6.5 TRADING HR. 3) PREMIER WEALTH / 107 NORTHERN BLVD, STE 304, GREAT NECK NY 11021 / 01/06/2021 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES / 1 HR/MO - 1 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2007-11-21