Christopher P. Pendergast
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.
Christopher Patrick Pendergast was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2013. Christopher had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2018 - July 17, 2019
COMPASS DISTRIBUTORS, LLC
April 1, 2016 - December 31, 2018
IMST DISTRIBUTORS, LLC
March 30, 2016 - August 15, 2018
OAK RIDGE INVESTMENTS, LLC
June 16, 2014 - March 8, 2016
NEUBERGER BERMAN BD LLC
May 2, 2014 - March 8, 2016
NEUBERGER BERMAN BD LLC
August 6, 2013 - April 28, 2014
ALLSPRING FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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