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Mark Pendergrast

Cetera Investment Advisers LLC
38 Years of Experience
Memphis, TN
1 DisclosureBroker
View SEC Summary
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Mark Pendergrast is a registered investment advisor at Cetera Investment Advisers LLC, based in Memphis, TN, with 38 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

4383 Summer Avenue, Memphis, TN, 38122

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History

Regulatory History (1)
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Customer Dispute
September 2022
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cetera Investment Advisers LLC
December 2016 - Present · 9 yrs 10 mos
Cetera Investment Services LLCBroker
December 2016 - Present · 9 yrs 10 mos
Previous Registrations
Stephens
November 2004 - December 2016 · 12 yrs 1 mo
StephensBroker
July 2004 - December 2016 · 12 yrs 5 mos
Raymond James & Associates, INC.
March 2004 - August 2004 · 5 mos
Raymond James & Associates, INC.Broker
May 1994 - August 2004 · 10 yrs 3 mos
Painewebber IncorporatedBroker
September 1991 - May 1994 · 2 yrs 8 mos
A. G. Edwards & Sons, INC.Broker
October 1987 - September 1991 · 3 yrs 11 mos
State Registrations7 states
ARFLMOMSNCTNWI
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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