Brian J. Pendleton
Professional summary
Brian J Pendleton III, who also goes by Brian John Pendleton III, Brian John Pendleton, is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Parsippany, New Jersey and HENNION & WALSH, INC. located in Boca Raton, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian J Pendleton III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2012 - Present
HENNION & WALSH ASSET MANAGEMENT, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054July 12, 2012 - Present
HENNION & WALSH, INC.
Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431October 18, 2011 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2011 - July 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/7/2017)
(7/30/2020)
(9/19/2013)
(3/10/2014)
(3/21/2013)
(11/5/2013)
(7/12/2012)
(7/12/2012)
(8/13/2014)
(1/8/2024)
(3/21/2013)
(12/3/2013)
(3/29/2018)
(9/5/2013)
(7/18/2019)
(10/4/2017)
(5/19/2015)
(7/2/2013)
(3/21/2013)
(11/5/2014)
(10/16/2014)
(1/7/2015)
(7/27/2016)
(7/27/2016)
(8/2/2022)
(7/12/2012)
(7/12/2012)
(7/16/2013)
(7/12/2012)
(1/9/2015)
(12/20/2022)
(7/12/2012)
(11/1/2013)
(6/7/2018)
(7/12/2012)
(7/10/2013)
(7/22/2013)
(6/3/2013)
(7/24/2014)
(2/3/2020)
(8/21/2013)
(4/4/2014)
(10/29/2021)
(6/8/2018)
(2/8/2021)
Exams
FINRA
Current Firm
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
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.
