Benjamin T. Pettigrew

REDWOOD PARK ADVISORS

Redwood City, CA 94065

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CRD#: 4798476

Professional summary

Benjamin Thomas Pettigrew, CFP®, who also goes by Benjamin Pettigrew, is a registered financial advisor currently at REDWOOD PARK ADVISORS located in Redwood City, California.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Benjamin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Pettigrew

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. 07/26/2012: OTHER-MONEY BASICS SEMINARS / I WILL BE TEACHING HIGH SCHOOL KIDS THE BASIC FUNDAMENTALS ABOUT MONEY MANAGEMENT / TIME SPENT 10%. 2. Insurance Producer; Investment-related; 3 Twin Dolphin Drive, Suite 210 Redwood City, CA 94065; Insurance product sales; insurance agent; 07/31/2010; 10 hrs per month; 5 hrs per month during trading; receive customary commissions for insurance products sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Thomas Pettigrew'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: 2009

Experience

Current

June 29, 2020 - Present

REDWOOD PARK ADVISORS

Office #1: 3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065

RIA

CRD#: 307958

Redwood City, CA

Past

May 25, 2012 - July 2, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

REDWOOD CITY, CA

Past

May 24, 2012 - July 2, 2020

LPL FINANCIAL LLC

CRD#: 6413

REDWOOD CITY, CA

Past

September 22, 2009 - May 16, 2012

MORGAN STANLEY

RIA

CRD#: 149777

PALO ALTO, CA

Past

June 1, 2009 - May 16, 2012

MORGAN STANLEY

CRD#: 149777

PALO ALTO, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PALO ALTO, CA

Past

February 16, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PALO ALTO, CA

Past

January 10, 2007 - February 22, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EAST PALO ALTO, CA

Past

February 15, 2006 - January 10, 2007

PENSION PLANNERS SECURITIES, INC.

CRD#: 14068

SAN JOSE, CA

Past

May 27, 2004 - July 8, 2005

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

REDWOOD PARK ADVISORS

REDWOOD PARK ADVISORS | REDWOOD PARK ADVISORS, LLC

CRD#: 307958 / SEC#: 801-128196

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

California

Registered Investment Advisory firm - (7/19/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2023 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).

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
(6/29/2020)

IAR

Texas
(10/1/2021)

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: 9/21/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/2004

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: 6/29/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

REDWOOD PARK ADVISORS

REDWOOD PARK ADVISORS | REDWOOD PARK ADVISORS, LLC

CRD#: 307958 / SEC#: 801-128196

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

California

Registered Investment Advisory firm - (7/19/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2023 Terminated)

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Contact information

Main Address

3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065

Mailing Address

Phone number

(866) 579-8808

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 142,801,390

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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Advisor Monitoring

Firm Stability Insights

Benjamin T. Pettigrew

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Thomas Pettigrew's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

PENSION PLANNERS SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

REDWOOD PARK ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2009

Series 63

Date: 5/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/29/2005

Series 6

Date: 5/17/2004

Current Firm

REDWOOD PARK ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDWOOD PARK ADVISORS

TRUST BUT VERIFY

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