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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Pearl is an investment advisor representative with Independent Financial Group, LLC based in Warsaw, IN. Rick has been in the financial services industry since 1995 and has a wide range of experience working with individuals, businesses, and retirement plans. Rick is licensed to provide financial advice in Indiana and Florida, and is also a registered investment advisor in Indiana. Before joining Independent Financial Group, LLC, Rick held positions at LPL FINANCIAL LLC, ROBERT W. BAIRD & CO. INCORPORATED, NATCITY INSURANCE SERVICES, INC., NATCITY INVESTMENTS, INC., LIBERTY SECURITIES CORPORATION, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Rick holds the Series 7, Series 24, and Series 63 licenses, as well as the SIE and Series 65 exams. Rick is committed to providing personalized financial advice and helping clients reach their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
IN
09/19/2019 - Present
Independent Financial Group, LLC (WARSAW IN)
IN
11/29/2002 - 10/14/2019
LPL FINANCIAL LLC (WARSAW IN)
WI
05/11/2001 - 12/20/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
OH
01/04/2000 - 05/30/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
OH
05/08/1998 - 05/30/2001
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NY
03/22/1996 - 11/04/1996
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NY
04/10/1995 - 03/07/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/09/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/16/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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