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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Pendrak is a financial advisor with UBS Financial Services Inc. Chris Pendrak has been in the industry since March 12, 2004. Chris Pendrak is registered with both FINRA and state securities regulators. Chris Pendrak has passed the Series 3, Series 7, and Series 66 exams. Chris Pendrak has been employed by UBS Financial Services Inc. since March 2013. Chris Pendrak has previously worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, First Command Financial Planning, Inc., Pointe Capital, Inc. and Empire Financial Group, Inc.. Chris Pendrak is registered in 21 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
03/21/2013 - Present
UBS Financial Services Inc. (FT. LAUDERDALE FL)
FL
11/17/2009 - 03/22/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT LAUDERDALE FL)
FL
05/21/2009 - 11/12/2009
FIRST COMMAND FINANCIAL PLANNING, INC. (ORLANDO FL)
FL
09/25/2006 - 11/11/2008
POINTE CAPITAL, INC. (TAMPA FL)
FL
09/01/2003 - 09/26/2006
EMPIRE FINANCIAL GROUP, INC. (MAITLAND FL)
BOTH
Issued 06/15/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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