Brian L. Pendleton
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.
Brian Lees Pendleton was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 5 firms and has passed the 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
Experience
March 9, 2000 - March 1, 2002
CLEARING SERVICES OF AMERICA, INC.
April 8, 1988 - January 24, 2000
FIRST WESTERN ADVISORS
June 18, 1984 - April 12, 1988
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1983 - July 1, 1983
AMERICAN ASSET MANAGEMENT CORPORATION
April 19, 1983 - June 13, 1984
UBS FINANCIAL SERVICES INC.
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
CLEARING SERVICES OF AMERICA, INC.
CRD#: 23623 / SEC#: , 8-40560
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 2 |
| Arbitration | 6 |
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.
