Xandra L. Pendergrass
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.
Xandra Leigh Pendergrass, who also goes by Xandra Leigh Burnette, Xandra L Pendergrass, Xandra Leigh Slade, was a registered financial professional .
Xandra is a previously registered financial professional and started their career in finance in 1996. Xandra had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2019 - January 29, 2021
BROWN ADVISORY
December 31, 2018 - June 6, 2019
BROWN ADVISORY
June 8, 2009 - December 31, 2018
BROWN ADVISORY
May 1, 2003 - April 23, 2009
UBS FINANCIAL SERVICES INC.
March 20, 2003 - April 23, 2009
UBS FINANCIAL SERVICES INC.
January 12, 1998 - December 15, 1999
WACHOVIA SECURITIES, INC.
March 14, 1996 - November 24, 1997
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
BROWN ADVISORY
CRD#: 106375 / SEC#: 801-47290
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
BROWN ADVISORY
CRD#: 106375 / SEC#: 801-47290
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,744 |
| AUM (Assets Under Management) | $ 7,319,916,211 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 10/28/2024 | ||
| 01/24/2024 | ||
| 10/27/2022 |
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.
