William D. Prendergast
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Davis Prendergast JR, CFP®, who also goes by William Pendergost, Bill Prendergast, William Davis Jr Prendergast, William Davis Prendergast Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1982. William had worked at 18 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
July 23, 2015 - December 10, 2015
REDHAWK WEALTH ADVISORS, INC.
December 11, 2012 - December 22, 2016
CG ADVISORY SERVICES
November 13, 2012 - November 21, 2012
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
November 13, 2012 - November 21, 2012
J.P. TURNER & COMPANY, L.L.C.
July 5, 2012 - November 14, 2012
INTEGRITY ALLIANCE, LLC.
July 5, 2012 - November 14, 2012
INTEGRITY ALLIANCE, LLC.
March 5, 2009 - July 9, 2012
QUESTAR ASSET MANAGEMENT, INC.
March 5, 2009 - July 9, 2012
QUESTAR CAPITAL CORPORATION
July 30, 2008 - February 20, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 4, 2008 - July 30, 2008
INTEGRITY ALLIANCE, LLC.
January 4, 2008 - July 30, 2008
INTEGRITY ALLIANCE, LLC.
May 22, 2007 - January 25, 2008
ENVISION INVESTMENT ADVISORS, LLC
November 8, 2006 - April 23, 2007
1717 CAPITAL MANAGEMENT COMPANY
October 18, 2006 - April 23, 2007
1717 CAPITAL MANAGEMENT COMPANY
September 22, 2004 - November 21, 2005
FIRST HORIZON ADVISORS, INC.
June 23, 2004 - November 21, 2005
FIRST HORIZON ADVISORS, INC.
December 13, 1999 - January 7, 2002
WALNUT STREET SECURITIES, INC.
October 13, 1994 - December 31, 1999
PFS INVESTMENTS INC.
October 2, 1991 - December 31, 1992
WOODBURY FINANCIAL SERVICES, INC.
November 25, 1987 - December 31, 1989
OLD SLIP CAPITAL MANAGEMENT, INC.
March 9, 1987 - October 2, 1987
CINCINNATI ANALYSTS, INC.
October 21, 1985 - February 28, 1986
JACQUES-MILLER INVESTMENT COMPANY
February 3, 1984 - November 15, 1985
OLD SLIP CAPITAL MANAGEMENT, INC.
August 26, 1982 - March 15, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
REDHAWK WEALTH ADVISORS, INC.
CRD#: 146616 / SEC#: 801-68902
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REDHAWK WEALTH ADVISORS, INC.
CRD#: 146616 / SEC#: 801-68902
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,283 |
| AUM (Assets Under Management) | $ 1,837,536,390 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
