Brett Michael Pendleton
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
RETIREMENT PLAN ADVISORS, LLC
Contact Information
Main Address
29 E. Madison St. Suite 500, Chicago, IL 60602-3205Phone Number
(312) 701-1100# of Employees
47SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
10,031AUM (Assets Under Management)
$3,540,242,913Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
RETIREMENT PLAN ADVISORS, LLC
State Registrations and Notice Filings
(2/5/2018)
(5/13/2014)
(9/25/2014)
(6/22/2016)
(12/13/2017)
(7/21/2020)
(6/8/2016)
(9/22/2017)
(11/28/2017)
(1/26/2016)
(9/17/2019)
(7/14/2020)
(4/3/2014)
(7/21/2020)
(6/8/2016)
(6/8/2016)
(8/23/2017)
(2/11/2021)
(11/26/2013)
(3/7/2014)
(7/21/2020)
(7/21/2020)
(3/3/2014)
(1/13/2021)
(3/3/2014)
(3/31/2021)
(5/13/2014)
(7/21/2020)
(10/21/2022)
(11/28/2016)
(6/8/2016)
(11/14/2022)
(6/9/2016)
(7/21/2020)
(1/14/2019)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Brett Michael Pendleton's CRS (Customer Relationship Summary).
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