Arthur M. Pendrick
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.
Arthur Michael Pendrick was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1970. Arthur had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2003 - June 27, 2023
TRIDENT PARTNERS LTD.
July 7, 1997 - February 7, 2003
GLENN MICHAEL FINANCIAL, INC.
June 6, 1978 - July 8, 1981
PENDRICK REEVES ASSOCIATES, INC.
November 9, 1976 - July 23, 1997
INVESTORS ASSOCIATES, INC.
February 12, 1975 - January 7, 1977
JOHN R MAHER ASSOCIATES, INC.
December 30, 1974 - July 10, 1975
COSENTINO & DE FELICE, INC.
October 8, 1973 - February 24, 1977
EXECUTIVE INVESTORS SALES CORPORATION
March 12, 1970 - October 8, 1973
RALPH B LEONARD & SONS INC
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/4/1970
Registered Representative ExaminationSeries 00
Date: 10/4/1973
General Securities Principal ExaminationCurrent Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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