Barry F. Drogy

PENDRAGON CAPITAL MANAGEMENT

EAGLE, ID

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CRD#: 2472829

Professional summary

Barry Frederick Drogy is a registered financial advisor currently at PENDRAGON CAPITAL MANAGEMENT, INC. located in Eagle, Idaho.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Barry has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) 04/2011 - WHITEHAVEN ASSOCIATES/MANAGING PARTNER/CALIFORNIA/20 HOURS PER WEEK/FINANCIAL & BUSINESS CONSULTING TO MEDICAL AND BUSINESS PROFESSIONALS. 2) AMERICAN HEARING AID ASSOCIATES/HEARWELL AUDIOLOGY; EMPLOYEE; PROVIDE BUSINESS CONSULTING SERVICES TO HEARING AID PROFESSIONALS AND BUSINESS OWNERS; 30 HOURS PER WEEK. 3) WERTLIEB GST AND FAMILY TRUST; 12/2019; TRUSTEE; NO COMPENSATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Frederick Drogy's 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

March 28, 2011 - Present

PENDRAGON CAPITAL MANAGEMENT, INC.

RIA

CRD#: 128659

EAGLE, ID

Past

February 22, 2010 - December 31, 2024

BROKERAGESELECT

CRD#: 47974

NEW YORK, NY

Past

April 14, 2009 - January 27, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SAN JOSE, CA

Past

April 13, 2009 - January 27, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN JOSE, CA

Past

June 18, 2008 - April 21, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

SAN JOSE, CA

Past

May 21, 2008 - April 21, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

SAN JOSE, CA

Past

February 8, 2008 - March 25, 2008

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SAN JOSE, CA

Past

November 6, 2007 - March 25, 2008

PARK AVENUE SECURITIES LLC

CRD#: 46173

SAN JOSE, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(3/28/2011)

IAR

Idaho
(3/16/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/1994

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: 11/5/2007

General Securities Representative Examination

Current Firm

PENDRAGON CAPITAL MANAGEMENT, INC.

PENDRAGON CAPITAL MANAGEMENT, INC. | PENDRAGON CAPITAL MANAGMENT, INC.

CRD#: 128659 / SEC#:

California

Registered Investment Advisory firm - (3/28/2011 Approved)

Florida

Registered Investment Advisory firm - (5/27/2022 Approved)

Idaho

Registered Investment Advisory firm - (3/16/2021 Approved)

Massachusetts

Registered Investment Advisory firm - (3/11/2025 Approved)

New York

Registered Investment Advisory firm - (4/6/2004 Approved)

Pennsylvania

Registered Investment Advisory firm - (4/23/2004 Approved)

Texas

Registered Investment Advisory firm - (9/28/2021 Approved)

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Contact information

Main Address

Fishkill, NY

Mailing Address

Phone number

(917) 837-2287

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	102
AUM (Assets Under Management)	$ 40,000,000

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

Barry F. Drogy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Frederick Drogy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKERAGESELECT

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2007

Series 63

Date: 7/6/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/5/2007

Current Firm

PENDRAGON CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENDRAGON CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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