Jessica E. Pendergraft
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.
Jessica Elise Pendergraft, CFP®, who also goes by Jessica Elise Hunt, Jessica Hunt, Jessica E Pendergraft, was a registered financial professional .
Jessica is a previously registered financial professional and started their career in finance in 2006. Jessica had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
August 25, 2023 - June 3, 2024
PWA SECURITIES, LLC
May 4, 2022 - June 3, 2024
PROVENANCE WEALTH ADVISORS
April 13, 2021 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 8, 2021 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 28, 2020 - January 25, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 18, 2020 - January 11, 2021
FIDELITY BROKERAGE SERVICES LLC
February 20, 2015 - January 28, 2020
UBS FINANCIAL SERVICES INC.
January 14, 2015 - January 28, 2020
UBS FINANCIAL SERVICES INC.
November 3, 2008 - August 13, 2013
SCOTTRADE, INC.
September 28, 2006 - October 31, 2008
FIDELITY BROKERAGE SERVICES LLC
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
Current Firm
PWA SECURITIES, LLC
CRD#: 321974 / SEC#: , 8-70938
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWA HOLDINGS, LLC | MEMBER | |
| DONELSON, LISA ANTOINETTE | COMPLIANCE OFFICER | 2248926 |
| HEDIGER, LEE FREDERICK | BOARD OF DIRECTORS | 2696174 |
| MOLL, TODD ANTHONY | BOARD OF DIRECTORS | 2134560 |
| ROSANEL, JOSEPH PINHAS | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6215325 |
| SAKA, JOSEPH LESTER | BOARD OF DIRECTORS | 7704169 |
| SCANLAN, THOMAS JOSEPH | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, MUNI PRINCIPAL, REGISTERED OPTIONS PRINCIPAL, POO | 3182780 |
Red Flags
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