TP
Thomas N. Pendleton
EAGLE STRATEGIES LLC
COLUMBUS, GA 31901
Some features on this profile are disabled
CRD#: 5350768
TP
Professional summary
Thomas Nolan Pendleton, CFP®, who also goes by Nolan Pendleton, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Columbus, Georgia and NYLIFE SECURITIES LLC located in Columbus, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 4 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nolan Pendleton
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.
[KNP Holdings, LCC; two rental properties; INVESTMENT RELATED; OWNER; 33 Grizzly Court, FOrtson GA 31808; START DATE 01/2008; MAINTENANCE AND DUES; HOLDING COMPANY; 1 HOUR PER MONTH] [St. Luke United Methodist Church; I am my church's finance committee. We do not have control of any of the finances or monies of the church. We are all members of the church and are used as a sounding board. All final decisions are made by the advisory council.; 7413 Whitesville Road, Columbus, GA 31904; Start Date 01/2015; Role/Title: Board Member; Not Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [Insurance Brokering; I will be brokering various insurance products with multiple providers.; 7413 Whitesville Road, Columbus, GA 31904; Start Date 10/2015; Role/Title: Insurance Broker; Investment Related; 3 hours per month; 3 hours per month during securities trading hours] [OPERATING UNDER THE NAME HUDSON PENDLETON FINANCIAL GROUP, LLC D/B/A HUDSON PENDLETON FINANCIAL GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; COLUMBUS, GA; START DATE: 03/2016] [OPERATING UNDER THE DBA NAME OF GENERATIONAL FINANCIAL PARTNERS LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; COLUMBUS, GA; START DATE: 10/2018] [St. Luke School School board; I will be serving on the board for St. Luke School; 318 11th Street, Columbus, GA 31901; Start Date 12/2019; Role/Title: Board Member; Not Investment Related; 4 hours per month; 1 hours per month during securities trading hours] [Peach Little League; Board member for my kid's little league.; 1505 Cherokee Avenue, Columbus GA 31906; Start Date 06/2021; Role/Title: Board Member; Not Investment Related; 2 hours per month; 2 hours per month during securities trading hours;assist with helping the league running their season-drafts, schedules, lining up coaches, making sure the season runs smoothly][PRA Audio Systems, LLC DBA Audality; I am looking to invest in a start up company called Audality. They are in the technology space. I am only investing funds to this venture...not involved in any other capacity.; 1825 Eagle Summit Court, Lawrenceville GA 30043; Start Date 06/2024; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor]
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Nolan Pendleton'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®
CFP®
Start date: 2015
Experience
Current
December 2, 2015 - Present
EAGLE STRATEGIES LLC
Office #1: 1443 2nd Avenue, Columbus, GA 31901RIA
CRD#: 110826
COLUMBUS, GA
Current
September 29, 2015 - Present
NYLIFE SECURITIES LLC
Office #1: 1443 2nd Avenue Unit A, Columbus, GA 31901BD
CRD#: 5167
COLUMBUS, GA
Past
August 29, 2014 - August 27, 2015
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
COLUMBUS, GA
Past
May 21, 2014 - August 27, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 24, 2007 - May 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLUMBUS, GA
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".
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/21/2015)
RR
California(3/3/2021)
RR
Colorado(5/27/2021)
RR
Connecticut(6/13/2023)
RR
Florida(3/25/2019)
RR
Georgia(9/30/2015)
IAR
Georgia(12/2/2015)
RR
Hawaii(7/11/2025)
RR
Illinois(7/27/2023)
RR
Indiana(9/11/2023)
RR
Kansas(9/15/2021)
RR
Kentucky(11/22/2016)
RR
Maine(6/10/2024)
RR
Massachusetts(10/1/2024)
RR
New York(3/11/2023)
RR
North Carolina(10/2/2018)
RR
Ohio(5/7/2024)
RR
Oklahoma(9/11/2020)
RR
Oregon(9/17/2024)
RR
South Carolina(4/29/2021)
RR
Texas(3/31/2022)
IAR
Texas(5/24/2022)
RR
Virginia(9/9/2021)
RR
West Virginia(1/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
51 Madison Avenue 12th Floor, New York, NY 10010
Mailing Address
51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010
Phone number
(888) 695-3245
Established
Firm type
Fiscal year end
# of Employees
2,804
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Columbus, GA 31901TRUST BUT VERIFY
Monitor Thomas Pendleton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
