Stephen Pendergast, financial advisor Stamford CT

Stephen Pendergast

CRD Number: 1388526
Current Firm: Rbc Capital Markets, LLC

Stephen Pendergast (CRD# 1388526) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Stamford, CT and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
City National Bank Stamford, CT Jul 2019 - Current 4
Rbc Capital Markets, LLC Stamford, CT Nov 2017 - Current 6
Wells Fargo Clearing Services, LLC Danbury, CT Nov 2016 - Nov 2017 1
Wells Fargo Advisors LLC Danbury, CT May 2009 - Nov 2016 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1985
S66 NASAA Uniform Combined State Law Examination Oct 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Stephen W. Pendergast
Phone Number: 212-858-7000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    201,264
    MILLIONS
  • Total Number of Accounts
    451,404
    ACCOUNTS
  • Average Account Value
    $445,862
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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