Roger E. Clendenning

PINE CONE CAPITAL

CENTENNIAL, CO

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CRD#: 3273965

Professional summary

Roger Edwin Clendenning is a registered financial advisor currently at PINE CONE CAPITAL located in Centennial, Colorado.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Roger has worked at 5 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Edwin Clendenning'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

January 5, 2004 - Present

PINE CONE CAPITAL

RIA

CRD#: 129387

CENTENNIAL, CO

Past

February 26, 2003 - December 10, 2003

WADDELL & REED

RIA

CRD#: 866

ENGLEWOOD, CO

Past

February 26, 2003 - December 10, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 23, 2002 - February 12, 2003

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ENGLEWOOD, CO

Past

November 13, 2001 - February 12, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 29, 2000 - October 4, 2001

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

March 20, 2000 - April 20, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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

Colorado
(1/5/2004)

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: 10/13/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/2000

General Securities Representative Examination

Current Firm

PINE CONE CAPITAL

PINE CONE CAPITAL | PINE CONE CAPITAL LLC

CRD#: 129387 / SEC#:

Colorado

Registered Investment Advisory firm - (1/5/2004 Approved)

Missouri

Registered Investment Advisory firm - (1/27/2009 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Centennial, CO

Mailing Address

Po Box 2648, Centennial, CO 80161

Phone number

(303) 290-8699

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 17,303,749

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Roger E. Clendenning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Edwin Clendenning's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINE CONE CAPITAL

WADDELL & REED

WADDELL & REED

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NEW ENGLAND SECURITIES

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2000

Series 7

Date: 3/16/2000

Current Firm

PINE CONE CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PINE CONE CAPITAL

TRUST BUT VERIFY

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