John Pendergrast is a registered investment advisor at RBC Capital Markets, LLC, based in Houston, TX, with 48 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
2 Post Oak Central, 1980 Post Oak Blvd, Suite 1630 & 1525, Houston, TX, 77056-3859
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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John was a director for Friends of Fondren Library at Rice University from 2015 to 2018, spending minimal time. He is also a director for the Rice Baseball Insider's Club, dedicating minimal time per week.
Employment History
Current Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
RBC Capital Markets, LLC
Previous Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Legg Mason Wood Walker, IncorporatedBroker
Legg Mason Wood Walker INC
Dean Witter Reynolds INC.Broker
Dean Witter Reynolds INC.Broker
Dean Witter & CO. IncorporatedBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.