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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

ERIC ANDREW PEMBERTON

Advisor at MORGAN STANLEY

Bloomington, MN

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Search this name across graphsid dfx:ria:b712ef3d-eecb-7988-9000-55d00ba09ab3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Jun 16, 2003 to Sep 14, 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 30, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Exams: S63|S65|S66
First exam: Jul 30, 1999
First registration: Jun 16, 2003
Dual registered: yes, broker-dealer
Other names: PEMBERTON|Eric A Pemberton
IAPD individual key: 3167474

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
MORGAN STANLEY	Wirehouse	May 14, 2025	n/a	yes	Bloomington, MN	Current employment
FISHER INVESTMENTS	Independent wealth	Mar 15, 2024	Feb 6, 2025	no	PLANO, TX	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 14, 2023	Mar 14, 2024	no	DALLAS, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 24, 2021	Jul 7, 2022	no	Westlake, TX	Previous registration
MORGAN STANLEY	Wirehouse	Apr 17, 2013	Jun 29, 2021	no	Winter Park, FL\|Orlando, FL\|Champions Gate, FL\|Winter Park, FL\|Houston, TX	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jan 16, 2013	Apr 4, 2013	no	ORLANDO, FL	Previous registration
JACKSON WEALTH MANAGEMENT, LLC	Independent wealth	Aug 1, 2012	Oct 11, 2012	no	LAKE MARY, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 7, 2009	Jan 25, 2011	no	BELLEVUE, WA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 7, 2009	Jan 25, 2011	no	Bellevue, WA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 16, 2003	Apr 24, 2009	no	REDMOND, WA\|Redmond, WA	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
FISHER INVESTMENTS	MORGAN STANLEY	Feb 6, 2025	May 14, 2025	97	Firm change	RIA to wirehouse
RBC CAPITAL MARKETS, LLC	FISHER INVESTMENTS	Mar 14, 2024	Mar 15, 2024	1	Firm change	Ibd to RIA
CHARLES SCHWAB & CO., INC.	RBC CAPITAL MARKETS, LLC	Jul 7, 2022	Feb 14, 2023	222	Firm change	Ibd to ibd
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Jun 29, 2021	Aug 24, 2021	56	Firm change	Wirehouse to ibd
VALIC FINANCIAL ADVISORS, INC.	MORGAN STANLEY	Apr 4, 2013	Apr 17, 2013	13	Firm change	Other
JACKSON WEALTH MANAGEMENT, LLC	VALIC FINANCIAL ADVISORS, INC.	Oct 11, 2012	Jan 16, 2013	97	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jan 25, 2011	Oct 7, 2009	-475	Channel change	Other
TD AMERITRADE, INC.	JACKSON WEALTH MANAGEMENT, LLC	Jan 25, 2011	Aug 1, 2012	554	Firm change after gap	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Apr 24, 2009	Oct 7, 2009	166	Firm change	Other

Relationships

Registered with (8)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 17, 2013 to Jun 29, 2021factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Mar 15, 2024 to Feb 6, 2025factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 14, 2023 to Mar 14, 2024factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 24, 2021 to Jul 7, 2022factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 16, 2013 to Apr 4, 2013factForm ADV
→ JACKSON WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 1, 2012 to Oct 11, 2012factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 7, 2009 to Jan 25, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 7, 2009 to Jan 25, 2011factForm ADV

Dated events

Occurred
Feb 6, 2025
Advisor changed firm
Eric Andrew Pemberton left Fisher Investments for Morgan Stanley (registered 2025-05-14)
Form ADVobserved 3 days ago
Occurred
Mar 14, 2024
Advisor changed firm
Eric Andrew Pemberton left Rbc Capital Markets, Llc for Fisher Investments (registered 2024-03-15)
Form ADVobserved 3 days ago
Occurred
Jul 7, 2022
Advisor changed firm
Eric Andrew Pemberton left Charles Schwab & Co., Inc. for Rbc Capital Markets, Llc (registered 2023-02-14)
Form ADVobserved 3 days ago