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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MICHAEL DAVID PEARCE

Advisor at RBC SECURITIES, INC.

SAN FRANCISCO, CA | BURLINGAME, CA

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Search this name across graphsid dfx:ria:4f1c8b52-8e53-3660-5c90-caa3eaf061dc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 31, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 27, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S65|S63
First exam: Oct 27, 2005
First registration: Oct 31, 2005
Dual registered: yes, broker-dealer
Other names: MIKE PEARCE
IAPD individual key: 4926502

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC SECURITIES, INC.	Bd affiliated wealth	Jul 13, 2020	n/a	yes	SAN FRANCISCO, CA\|BURLINGAME, CA\|SAN FRANCISCO, CA	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Aug 23, 2017	Jul 17, 2020	no	Palo Alto, CA\|ARLINGTON, VA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Mar 6, 2015	Aug 30, 2017	no	CONCORD, CA\|NOVATO, CA\|PETALUMA, CA\|PETALUMA, CA\|LARKSPUR, CA\|MILL VALLEY, CA\|LARKSPUR, CA\|SAN FRANCISCO, CA\|DALY CITY, CA\|San Francisco, CA\|SAN FRANCISCO, CA\|SOUTH SAN FRANCISCO, CA\|MILL VALLEY, CA\|SAN FRANCISCO, CA\|DALY CITY, CA\|SAN MATEO, CA\|BURLINGAME, CA\|SAN FRANCISCO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 18, 2006	Oct 2, 2007	no	San Francisco, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Oct 31, 2005	May 3, 2006	no	MORAGA, CA\|MORAGA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E*TRADE CAPITAL MANAGEMENT, LLC	RBC SECURITIES, INC.	Jul 17, 2020	Jul 13, 2020	-4	Firm change	RIA to RIA
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	E*TRADE CAPITAL MANAGEMENT, LLC	Aug 30, 2017	Aug 23, 2017	-7	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Oct 2, 2007	Mar 6, 2015	2,712	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	May 3, 2006	May 18, 2006	15	Firm change	Other

Relationships

Registered with (5)

→ RBC SECURITIES, INC.Registered adviserregistration: current employment
Jul 13, 2020 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 23, 2017 to Jul 17, 2020factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Mar 6, 2015 to Aug 30, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 18, 2006 to Oct 2, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Oct 31, 2005 to May 3, 2006factForm ADV

Dated events

No dated event names this entity yet.