Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Alan Pendergrast is a financial advisor with RBC Capital Markets, LLC. John has been in the financial industry since 1977 and has experience working with a variety of clients, including high-net-worth individuals, corporations, charitable organizations, and public and private employee benefit plans. John is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 7, Series 5, Series 15, Series 63, and Series 65. John was also previously registered with Raymond James & Associates, Inc. and Legg Mason Wood Walker, Incorporated.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
06/03/2013 - Present
RBC Capital Markets, LLC (HOUSTON TX)
TX
01/04/2006 - 06/07/2013
RAYMOND JAMES & ASSOCIATES, INC. (HOUSTON TX)
MD
06/01/1989 - 01/26/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
02/05/1984 - 06/12/1989
DEAN WITTER REYNOLDS INC.
NA
02/24/1978 - 06/12/1989
DEAN WITTER REYNOLDS INC.
NA
04/21/1977 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
IA
Issued 08/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/06/1979
PC - AMEX Put and Call Exam
BC
Issued 04/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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