Gray E. Pendleton
PENDLETON FINANCIAL WEALTH MANAGEMENT
Raleigh, NC 27608
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CRD#: 5968190
Professional summary
Gray Ellis Pendleton, AIF®, CFP® is a registered financial advisor currently at PENDLETON FINANCIAL WEALTH MANAGEMENT located in Raleigh, North Carolina.
Gray is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Gray has worked at 2 firms and has passed the Series 66, SIE and Series 7 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) Financial Success Guide, Inc. Investment Related; 409 May Court, Raleigh NC 27609; Pass-Thru Business Entity; Owner; Start Date 07/2015; 5 hours per month with 0 hours occurring during trading hours; Business Entity to run income through; Teaching classes and receiving at most a few hundred dollars per class. 2) Preferred Planning & Insurance, Inc. Investment Related; 409 May Court, Raleigh NC 27609: Start Date 12/2010; 5 hours per month with 2 hours occurring during trading hours; provides insurance products and services as a licensed insurance agent 3) Real estate Agent; Investment Related; 409 May Court, Raleigh NC 27609; Real Estate licensed in 2019; Self; Start Date 01/2019; 1 hour per month with no hours during trading hours; I have a lot of rental properties I own personally and through businesses disclosed. 4) Personal Rental Properties; Non-Investment Related; 409 May Court, Raleigh, NC 27609; Residential Real Estate; Owner; Start Date 07/2007; 20 hours per month with none of those hours occurring during trading hours. Collection of rent and make decisions on repairs and other landlord duties; Own five properties: Located in NC. Owner of Vintage Road LLC which owns two properties as well. 5) Pendleton Wealth Strategies Social Media Channel; Investment Related; 409 May Court, Raleigh, NC 27609; Start Date January 2025; 10 hours per month with no hours occurring during trading hours; Educational YouTube channel focused on financial planning and retirement strategies. Videos provide financial education to the public and may generate revenue from ad placements or sponsorships in the future. 6) The Pendleton Guide to Retirement Plans (Book Sales & Future Titles); Investment Related; 409 May Court, Raleigh, NC 27609; Start Date July 2025: 5 hours per month with no hours occurring during trading hours; Author and publisher of financial planning books. Books provide general financial education and do not recommend specific investment products or services. 7) Music Production as Creative Outlet (Spotify & Other Platforms); Non-Investment Related; 409 May Court, Raleigh, NC 27609; Start Date July 2025; 5 hours per month with no hours occurring during trading hours; Creation and distribution of original music through streaming platforms. Music is unrelated to financial services and is a creative pursuit. Any revenue is from streaming royalties.
CRS (Client Relationship Summary) - RIA
Click below to view Gray Ellis Pendleton's 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®
CFP®
Start date: 2015
Experience
Current
June 16, 2023 - Present
PENDLETON FINANCIAL WEALTH MANAGEMENT
Office #1: 2607 Oberlin Road Suite 100, Raleigh, NC 27608RIA
CRD#: 325303
Raleigh, NC
Past
March 18, 2013 - July 10, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Raleigh, NC
Past
January 21, 2013 - July 10, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Raleigh, NC
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".
PF
PENDLETON FINANCIAL WEALTH MANAGEMENT
PENDLETON FINANCIAL WEALTH MANAGEMENT | PENDLETON FINANCIAL, LLC
CRD#: 325303 / SEC#: 801-127988
RIA
Registered Investment Advisory firm - (5/15/2023 Approved)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.Highlighted states indicate IAR registrations
IAR
North Carolina(6/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
PENDLETON FINANCIAL WEALTH MANAGEMENT
PENDLETON FINANCIAL WEALTH MANAGEMENT | PENDLETON FINANCIAL, LLC
CRD#: 325303 / SEC#: 801-127988
RIA
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Contact information
Main Address
2607 Oberlin Road Suite 100, Raleigh, NC 27608
Mailing Address
Phone number
(919) 781-4167
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 324 |
| AUM (Assets Under Management) | $ 141,903,692 |
Red Flags
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Company Information
PENDLETON FINANCIAL WEALTH MANAGEMENT
CRD#: 325303Raleigh, NC 27608TRUST BUT VERIFY
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