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Darren Franklin Pendleton

CRD# 3009684·Registered 1998 - 2020
Previously Registered: Being a previously registered professional could mean that Darren 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.

Professional Summary

Darren Franklin Pendleton, who also goes by Darren F Pendleton, was a registered financial advisor. Darren was a previously registered financial professional and started their career in finance 1998 - 2020. Darren had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Darren F Pendleton

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

CORE WEALTH CONSULTANTS, LLC·CRD# 165246
RIA
Fishers, IN
November 24, 2014 - February 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Indianapolis, IN
October 5, 2009 - April 8, 2014
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Indianapolis, IN
October 5, 2009 - April 8, 2014
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
RIA
Indianapolis, IN
January 21, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Indianapolis, IN
January 21, 2004 - October 5, 2009
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
RIA
Indianapolis, IN
November 25, 2003 - February 4, 2004
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
St. Paul, MN
November 25, 2003 - February 4, 2004
INTREPID FINANCIAL PLANNING GROUP, LLC·CRD# 112196
RIA
Indianapolis, IN
August 9, 2001 - November 10, 2003
WATERSTONE FINANCIAL GROUP, INC.·CRD# 10078
BD
Boston, MA
July 18, 2000 - October 16, 2003
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
July 24, 1998 - June 26, 2000

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Current Firm

CW
CORE WEALTH CONSULTANTS, LLC

CORE WEALTH CONSULTANTS, LLC

CRD#: 165246
Florida
Registered Investment Advisory firm - Florida (4/9/2015 Approved)
Indiana
Registered Investment Advisory firm - Indiana (9/10/2012 Approved)
Michigan
Registered Investment Advisory firm - Michigan (10/26/2012 Approved)

Contact Information

Main Address

Winter Garden, FL

Phone Number

(407) 393-5985

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

150

AUM (Assets Under Management)

$42,759,640

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 1998About the Series 6 exam

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CRS (Client Relationship Summary)

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

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