Mark L. Prendergast

APELLA WEALTH

HUNTINGTON BEACH, CA 92649

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CRD#: 4422865

Professional summary

Mark Louis Prendergast, CFP® is a registered financial advisor currently at APELLA WEALTH located in Huntington Beach, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Mark has worked at 3 firms .

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.

Serves on the Board of Directors for another investment advisory firm, Regency Investment Advisors, Inc. Attends board meetings and vote on governance matters. Subject to each firm's Confidentiality and Code of Ethics. Spends an estimated 1 hour a month on his Board duties and started in 2012.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Louis Prendergast's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

July 20, 2023 - Present

APELLA WEALTH

Office #1: 5011 Argosy Ave Suite 7, Huntington Beach, CA 92649

RIA

CRD#: 171106

HUNTINGTON BEACH, CA

Past

August 23, 2007 - November 6, 2023

INSPIRED FINANCIAL

RIA

CRD#: 125713

HUNTINGTON BEACH, CA

Past

June 28, 2006 - December 11, 2007

BEECHWOOD ADVISORY GROUP, LLC

RIA

CRD#: 127614

FRESNO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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
(7/20/2023)

IAR

Connecticut
(7/20/2023)

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

Current Firm

APELLA WEALTH

APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA

Registered Investment Advisory firm - (4/29/2014 Approved)

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Contact information

Main Address

65 Memorial Drive Suite C340, West Hartford, CT 06107

Mailing Address

Phone number

(860) 785-2260

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts	19,172
AUM (Assets Under Management)	$ 7,953,076,688

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
03/29/2024	Cover Page	Report
04/30/2023	Cover Page	Report

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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Mark L. Prendergast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Louis Prendergast's CRS (Customer Relationship Summary).

Certified licenses

Experience

APELLA WEALTH

INSPIRED FINANCIAL

BEECHWOOD ADVISORY GROUP, LLC

Primary Firm SEC Registration

APELLA WEALTH

State Registrations and Notice Filings

Exams

Current Firm

APELLA WEALTH

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

APELLA WEALTH

TRUST BUT VERIFY

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