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Stuart Pearl

LPL Financial LLC
42 Years of Experience
Hamden, CT
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Stuart Pearl is a registered investment advisor at LPL Financial LLC, based in Hamden, CT, with 42 years of industry experience. Stuart is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3074 Whitney Ave Building One, Hamden, CT, 06518

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2002
Withdrawn
Customer Dispute
March 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stuart sells fixed annuities, health, long-term care, disability, property & casualty, and fixed life insurance since 2004. He also operates Pearl Financial as a DBA for his LPL business and is involved with Southern CT Tax Group, spending about 10-20% of his time on tax preparation.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2004 - Present · 22 yrs 4 mos
LPL Financial LLC
June 2004 - Present · 22 yrs 4 mos
Previous Registrations
Main Street Management Company
February 2003 - June 2004 · 1 yr 4 mos
Main Street Management CompanyBroker
February 2003 - June 2004 · 1 yr 4 mos
Jefferson Pilot Securities CORP
April 2000 - February 2003 · 2 yrs 10 mos
Jefferson Pilot Securities CorporationBroker
October 1997 - February 2003 · 5 yrs 4 mos
Jefferson-Pilot Investor Services, INC.Broker
April 1997 - October 1997 · 6 mos
Metropolitan Life Insurance CompanyBroker
December 1983 - February 1997 · 13 yrs 2 mos
Metlife Securities INC.Broker
December 1983 - February 1997 · 13 yrs 2 mos
State Registrations21 states
AZCACOCTFLGAIDMANCNHNMNYOHPASCSDTNTXVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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