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David Parker Pearson

Carret Asset Management, LLC

New York, NY

CRD 1011590

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Employer firm

Carret Asset Management, LLC CRD 131445

$3.46B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)

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

Current Employers
Carret Asset Management, Llc

360 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-07-02
TX RA APPROVED 2004-06-07
  • NY RA
    APPROVED
    Since 2021-07-02
  • TX RA
    APPROVED
    Since 2004-06-07

Branch Locations

360 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Carret Asset Management, Llc New York NY 05/2004 Present
Previous Registrations
  • 2002-10-09 → 2004-06-03
    Carret And Company, Llc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-11
S63 Uniform Securities Agent State Law Examination 1987-08-25
  • S65 Uniform Investment Adviser Law Examination
    1998-08-11
  • S63 Uniform Securities Agent State Law Examination
    1987-08-25

View on SEC IAPD

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