Role at Conning
- Title on Schedule A
- Managing Director, Chief Compliance Officer
- Control
- Robert Pearce is a control person of Conning.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Robert Pearce has held the filed role since November 2005.
The firm
Career on record
Robert Pearce has been registered through Conning since November 2009, and before that through Conning Research & Consulting, Inc. and Advest, Inc..
- Passed Series 52TO · 2025
- Passed Series 14 and Series 99TO · 2023
- Passed SIE · 2018
- Conning Investment Products, Inc.Current– present · 21 yearsMyrtle Beach, SC · Adviser representative and broker · Firm CRD 120387
- Conning Research & Consulting, Inc.– · 4 yearsNorthfield, IL · Adviser representative · Firm CRD 120387
- Advest, Inc.– · 1 yearHartford, CT · Adviser representative · Firm CRD 10
- Passed Series 66 · 2005
- Passed Series 4 · 2003
- Passed Series 65 · 1999
- Passed Series 24 · 1998
- Passed Series 53 · 1997
- Passed Series 63 · 1990
- Passed Series 7 · 1989
Registrations and exams
Robert Pearce has a current investment-adviser registration in Connecticut and has passed 11 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Connecticut | Investment adviser representative | Approved | 12 November 2009 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 27 April 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 July 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 May 1990 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 4 | Registered Options Principal Examination | 11 July 2003 |
| Series 24 | General Securities Principal Examination | 5 February 1998 |
| Series 53 | Municipal Securities Principal Examination | 11 February 1997 |
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 21 October 1989 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Compliance Officer Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Robert Stedman Pearce
- CRD
- 1991468
- Firm
- Conning, Inc.
- Registration status
- Investment adviser and broker registrations
- Office
- ONE FINANCIAL PLAZA, 755 MAIN STREET, Hartford, CT 06103
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Robert Pearce work?
Robert Pearce has been Managing Director, Chief Compliance Officer of Conning, Inc. since November 2005, and is a control person of the firm.
Is Robert Pearce a financial advisor?
Yes. Robert Pearce has a current investment-adviser registration in Connecticut, through Conning since November 2009, as of 17 October 2026.
How many years of experience does Robert Pearce have?
Robert Pearce has worked in the financial industry for 35 years as of 17 October 2026, counted from 18 December 1990, across 3 adviser firms.
What exams has Robert Pearce passed?
Robert Pearce has passed 11 licensing exams: the Series 7, Series 63, Series 53, Series 24, Series 65, Series 4, Series 66, SIE, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in October 1989.
Where did Robert Pearce work before Conning?
Before Conning, Robert Pearce was registered through Conning Research & Consulting, Inc., November 2005 to October 2009; Advest, Inc., April 2005 to November 2005.
Where is Robert Pearce based?
Robert Pearce’s registered office is in Hartford, CT.
Leadership at Conning
- Matthew Kenneth DalyCEO & President
- Jung LeeManaging Director, Chief Financial Officer, Board Member
- Cynthia BeaulieuManaging Director, Portfolio Manager and CIO Conning North America
- Linwood BradfordChair of the Board
- Lorraine HritckoManaging Director, Board Member
- VI (viola) R. SmalleyManaging Director, Chief Legal Officer, Corporate Secretary