Mark C. Pendergrast

CETERA INVESTMENT ADVISERS LLC

MEMPHIS, TN 38122

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CRD#: 1648139

Professional summary

Mark Coe Pendergrast, who also goes by Mark Pendergrast, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Memphis, Tennessee and CETERA INVESTMENT SERVICES LLC located in Memphis, Tennessee.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Pendergrast

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) - RIA

Click below to view Mark Coe Pendergrast's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 9, 2016 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4383 Summer Avenue, Memphis, TN 38122

RIA

CRD#: 105644

MEMPHIS, TN

Current

December 7, 2016 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3577 Hacks Cross Road, Memphis, TN 38125Office #2: 4383 Summer Avenue, Memphis, TN 38122

CRD#: 15340

Memphis, TN

Past

November 2, 2004 - December 7, 2016

STEPHENS

RIA

CRD#: 3496

MEMPHIS, TN

Past

July 23, 2004 - December 7, 2016

STEPHENS

CRD#: 3496

MEMPHIS, TN

Past

March 11, 2004 - August 10, 2004

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MEMPHIS, TN

Past

May 3, 1994 - August 10, 2004

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

September 13, 1991 - May 19, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 21, 1987 - September 17, 1991

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(12/7/2016)

Florida
(11/29/2022)

Mississippi
(12/7/2016)

Missouri
(1/21/2020)

North Carolina
(9/26/2024)

Tennessee
(12/7/2016)

IAR

Tennessee
(12/9/2016)

Wisconsin
(1/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/26/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Mark C. Pendergrast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Coe Pendergrast's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

STEPHENS

STEPHENS

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/1987

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1987

Series 6

Date: 5/26/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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