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Gray Ellis Pendleton

Gray E. Pendleton

PENDLETON FINANCIAL WEALTH MANAGEMENT
Raleigh, NC 27608
Some features on this profile are disabled
CRD#: 5968190
Gray Ellis Pendleton

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gray Ellis 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®
AIF®

Accredited Investment Fiduciary

CFP®

Certified Financial Planner

Start date: 2015

Experience

Current

June 16, 2023 - Present

PENDLETON FINANCIAL WEALTH MANAGEMENT

Office #1: 2607 Oberlin Road Suite 100, Raleigh, NC 27608
RIA
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
RR
IAR
Series 66
Date: 3/15/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2013
General Securities Representative Examination

Current Firm

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - PENDLETON FINANCIAL LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts324
AUM (Assets Under Management)$ 141,903,692

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.

Company Information

PENDLETON FINANCIAL WEALTH MANAGEMENT

CRD#: 325303Raleigh, NC 27608

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