Daniel J. Pendleton
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.
Daniel Joseph Pendleton was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - August 19, 2019
PORTFOLIO WEALTH ADVISORS
November 11, 2013 - January 7, 2015
MML INVESTORS SERVICES, LLC
October 27, 2008 - June 5, 2009
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
PORTFOLIO WEALTH ADVISORS
CRD#: 145687 / SEC#: 801-68615
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
PORTFOLIO WEALTH ADVISORS
CRD#: 145687 / SEC#: 801-68615
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 750 |
| AUM (Assets Under Management) | $ 373,189,200 |
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.
