Nan M. Pendleton

OLD PORT ADVISORS

Portland, ME 04101-7104

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CRD#: 7499546

Professional summary

Nan Margaret Pendleton, who also goes by Nan Pendleton, Nan M Pendleton, is a registered financial advisor currently at OLD PORT ADVISORS located in Portland, Maine.

Nan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nan Pendleton | Nan M Pendleton

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 Nan Margaret 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

December 18, 2024 - Present

OLD PORT ADVISORS

Office #1: 130 Middle Street 2nd Floor, Portland, ME 04101-7104

RIA

CRD#: 108228

Portland, ME

Past

August 1, 2022 - August 15, 2024

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

Portland Maine (ID), ME

Past

June 4, 2022 - August 15, 2024

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Portland Maine (ID), ME

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".

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 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.

Highlighted states indicate IAR registrations

IAR

Maine
(1/7/2025)

IAR

Texas
(12/18/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/4/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/5/2022

Securities Industry Essentials Examination

Current Firm

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 Terminated)

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Contact information

Main Address

130 Middle Street 2nd Floor, Portland, ME 04101-7104

Mailing Address

Phone number

(207) 774-6552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OLD PORT ADVISORS BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	2,442
AUM (Assets Under Management)	$ 746,437,303

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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Nan M. Pendleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nan Margaret Pendleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD PORT ADVISORS

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

OLD PORT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2022

Series 7TO

Date: 6/4/2022

SIE

Date: 3/5/2022

Current Firm

OLD PORT ADVISORS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLD PORT ADVISORS

TRUST BUT VERIFY

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