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MP

Michelle M. Pendergast

EARLYBIRDCAPITAL
Boca Raton, FL 33486
Some features on this profile are disabled
CRD#: 5441721
MP

Professional summary

Michelle Marie Pendergast is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Boca Raton, Florida.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 2007. Michelle has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michelle Marie Pendergast'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®
None

Experience

Current

March 16, 2021 - Present

EARLYBIRDCAPITAL, INC.

Office #1: One Town Center Road, Boca Raton, FL 33486
BD
CRD#: 28629
Boca Raton, FL
Past

February 15, 2018 - February 6, 2020

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Albany, NY
Past

November 27, 2007 - March 12, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ALBANY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/26/2007
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

EI
EARLYBIRDCAPITAL, INC.
CORNELL SECURITIES CONSULTANTS, INC. | SOUTHEAST RESEARCH PARTNERS, INC. | EARLYBIRDCAPITAL.COM INC. | EARLYBIRDCAPITAL, INC.

CRD#: 28629 / SEC#: , 8-43828

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
One Huntington Quadrangle, Suite 1c15, Melville, NY 11747
Mailing Address
1 Huntington Quadrangle 1c15, Melville, NY 11747
Phone number
+1 (631) 770-0600
Established
Delaware since 05/09/1991
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EBC HOLDINGS INC.HOLDING COMPANY
KAUFMANN, AMY ELIZABETHEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2776989
LEVINE, STEVEN ARTHURPRESIDENT/DIRECTOR2714473
NUSSBAUM, DAVID MARTINCHAIRMAN/DIRECTOR1631483
PENDERGAST, MICHELLE MARIEFINOP/CFO5441721

Disclosures

Regulatory Event3
Arbitration1

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

EARLYBIRDCAPITAL, INC.

CRD#: 28629Boca Raton, FL 33486

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