Brett M. Pendleton

RETIREMENT PLAN ADVISORS

JEFFERSON CITY, MO 65109

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CRD#: 5842915

Professional summary

Brett Michael Pendleton is a registered financial advisor currently at RETIREMENT PLAN ADVISORS, LLC located in Jefferson City, Missouri and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Jefferson City, Missouri.

Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brett has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) RETIREMENT PLAN ADVISORS LLC, 2420 Hyde Park Road, #C, Jefferson City, MO 65109 2/27/2014 INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL - 0 HRS. 2) RETIREMENT PLAN ADVISORS LLC, 2420 Hyde Park Road, #C, Jefferson City, MO 65109 1/01/2014 AS ADVISORY REP OF A RIA. INV REL - 10/MO - 10/TRADING. 3) VILLAGE OF ST ELIZABETH, 259 S WALNUT ST, ST ELIZABETH, MO, 01/21/21, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 3 HR/Mo- 0/TRADING HR. 4) RETIREMENT PLAN ADVISORS HOLDINGS, INC. / 29 E. Madison St, Suite 500 Chicago IL 60602 / 01/01/2022 / NIR / OWNER - MEMBER OF RETIREMENT PLAN ADVISORS GROUP, LLC / 1HR/MO - OHR/MO TRADING 5) BRETT PENDLETON, 16 REDBIRD CT ST ELIZABETH MO 65075, 05/2020, OWNER, FARM, NIR, 40 HR/MO 0 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Michael Pendleton'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

November 26, 2013 - Present

RETIREMENT PLAN ADVISORS, LLC

Office #1: 2420 Hyde Park Road, #c, Jefferson City, MO 65109

RIA

CRD#: 122758

JEFFERSON CITY, MO

Current

November 18, 2013 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 2420 Hyde Park Road #c, Jefferson City, MO 65109

CRD#: 39543

JEFFERSON CITY, MO

Current

November 28, 2016 - Present

RETIREMENT PLAN ADVISORS SERVICES, LLC

Office #1: 2420 Hyde Park Road, #c, Jefferson City, MO 65109

CRD#: 111392

JEFFERSON CITY, MO

Past

April 26, 2013 - November 13, 2013

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

JEFFERSON CITY, MO

Past

August 23, 2012 - November 13, 2013

INVEST FINANCIAL CORPORATION

CRD#: 12984

JEFFERSON CITY, MO

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".

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(2/5/2018)

Arizona
(5/13/2014)

Arkansas
(9/25/2014)

California
(6/22/2016)

Colorado
(12/13/2017)

Connecticut
(7/21/2020)

Delaware
(6/8/2016)

Florida
(9/22/2017)

Georgia
(11/28/2017)

Illinois
(1/26/2016)

Indiana
(9/17/2019)

Iowa
(7/14/2020)

Kansas
(4/3/2014)

Maine
(7/21/2020)

Maryland
(6/8/2016)

Massachusetts
(6/8/2016)

Michigan
(8/23/2017)

Minnesota
(2/11/2021)

IAR

Missouri
(11/26/2013)

Missouri
(3/7/2014)

New Hampshire
(7/21/2020)

New Jersey
(7/21/2020)

New York
(3/3/2014)

Ohio
(1/13/2021)

Oklahoma
(3/3/2014)

Oregon
(3/31/2021)

Pennsylvania
(5/13/2014)

Rhode Island
(7/21/2020)

South Carolina
(10/21/2022)

Tennessee
(11/28/2016)

Texas
(6/8/2016)

IAR

Texas
(11/14/2022)

Vermont
(6/9/2016)

Virginia
(7/21/2020)

Washington
(1/14/2019)

Wisconsin
(6/8/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/18/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/9/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

CRD#: 122758 / SEC#: 801-63261

RIA

Registered Investment Advisory firm - (7/14/2004 Approved)

Arizona

Registered Investment Advisory firm - (8/2/2004 Terminated)

Colorado

Registered Investment Advisory firm - (10/13/2006 Terminated)

Iowa

Registered Investment Advisory firm - (8/2/2004 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2005 Terminated)

Missouri

Registered Investment Advisory firm - (8/2/2004 Terminated)

Nevada

Registered Investment Advisory firm - (8/2/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/28/2004 Terminated)

Wisconsin

Registered Investment Advisory firm - (2/11/2003 Terminated)

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Contact information

Main Address

29 E. Madison St. Suite 500, Chicago, IL 60602-3205

Mailing Address

Phone number

(312) 701-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLAN ADVISORS, LLC CLIENT BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8,148
AUM (Assets Under Management)	$ 1,882,191,054

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.

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Advisor Monitoring

Firm Stability Insights

Brett M. Pendleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Michael Pendleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

RETIREMENT PLAN ADVISORS SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2013

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/22/2012

Series 24

Date: 3/9/2016

FINRA

Current Firm

RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

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