Philip A. Pendergraft

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CRD#: 1136860

Professional summary

Philip Allen Pendergraft was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Philip is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Philip had worked at 9 firms, which includes SERVICE ASSET MANAGEMENT COMPANY, PENSON FINANCIAL SERVICES INC., BARRE & COMPANY INCORPORATED, FIRST SOUTHWEST COMPANY LLC, MOMENTUM INDEPENDENT NETWORK INC., INDEPENDENT BROKERAGE CORPORATION OF AMERICA INC., DFW SECURITIES INC., OMNI SECURITIES INC., DFW CLEARING INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Phil Pendergraft

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 31, 2000 - July 31, 2000

SERVICE ASSET MANAGEMENT COMPANY

CRD#: 47157

AUSTIN, TX

Past

May 30, 1995 - July 17, 2012

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

March 15, 1994 - April 19, 1995

BARRE & COMPANY, INCORPORATED

CRD#: 8342

DALLAS, TX

Past

December 3, 1990 - February 17, 1994

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

September 26, 1990 - October 5, 1990

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

March 14, 1990 - September 5, 1990

INDEPENDENT BROKERAGE CORPORATION OF AMERICA, INC.

CRD#: 15204

Past

March 14, 1989 - September 17, 1990

DFW SECURITIES, INC.

CRD#: 23411

Past

December 21, 1987 - February 22, 1989

OMNI SECURITIES, INC.

CRD#: 21310

Past

May 25, 1983 - September 5, 1990

DFW CLEARING, INC.

CRD#: 7736

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/24/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/28/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 11/12/1993

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 11/19/1993

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/13/1989

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/22/1985

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/1985

General Securities Principal Examination

Current Firm

SERVICE ASSET MANAGEMENT COMPANY

IBI, INC. | SERVICE ASSET MANAGEMENT COMPANY | SAMCO CAPITAL MARKETS, A DIVISION OF SERVICE ASSET MGMT. CO.

CRD#: 47157 / SEC#: , 8-51691

Terminated by SEC on 04/22/2003

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Contact information

Main Address

Mailing Address

Phone number

Established

Texas since 04/20/1998

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SAMCO HOLDINGS, INC.	SHAREHOLDER
GROSS, WILLIAM DUDLEY	PRESIDENT - SAMCO CAPITAL MARKET DIVISION	1032405
ENGEMOEN, ROGER JAMES JR	CHAIRMAN	1506062
MALDONADO, OLGA INEZ	FINANCIAL OPERATIONS OFFICER	1974097
MAVERICK, JOSEPH LEE JR	CCO/SROP/CROP	2170350

Disclosures

Regulatory Event	4
Arbitration	2

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.

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Firm Stability Insights

Philip A. Pendergraft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PENSON FINANCIAL SERVICES, INC.

BARRE & COMPANY, INCORPORATED

FIRST SOUTHWEST COMPANY, LLC

MOMENTUM INDEPENDENT NETWORK INC.

INDEPENDENT BROKERAGE CORPORATION OF AMERICA, INC.

DFW SECURITIES, INC.

OMNI SECURITIES, INC.

DFW CLEARING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/1983

Series 3

Date: 8/28/2001

Series 15

Date: 11/12/1993

Series 7

Date: 5/21/1983

Series 27

Date: 11/19/1993

Series 4

Date: 3/13/1989

Series 53

Date: 8/22/1985

Series 24

Date: 7/12/1985

Current Firm

SERVICE ASSET MANAGEMENT COMPANY

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SERVICE ASSET MANAGEMENT COMPANY

TRUST BUT VERIFY

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