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Current Employers
Pendlebury Hall Advisors, Llc

Seattle, WA • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-07-30
  • WA RA
    APPROVED
    Since 2024-07-30

Branch Locations

Seattle, WA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mercer Investments, Llc Seattle WA 09/1994 12/2019
Mmc Securities Llc. Seattle WA 01/2017 12/2019
Mgi Funds Distributors, Llc Seattle WA 01/2020 03/2020
Investment Planners Inc Seattle WA 02/2024 08/2024
Pendlebury Hall, Llc Seattle WA 08/2023 Present
Nepc, Llc Seattle WA 02/2021 08/2023
Pendlebury Hall, Llc Seattle WA 03/2020 02/2021
Pendlebury Hall Securities, Llc Seattle WA 02/2024 Present
Pendlebury Hall Advisors, Llc Seattle WA 02/2024 Present
Finalis Securities Llc New York NY 11/2024 Present
  • 09/1994 → 12/2019
    Mercer Investments, Llc
    Seattle, WA
  • 01/2017 → 12/2019
    Mmc Securities Llc.
    Seattle, WA
  • 01/2020 → 03/2020
    Mgi Funds Distributors, Llc
    Seattle, WA
  • 02/2024 → 08/2024
    Investment Planners Inc
    Seattle, WA
  • 08/2023 → Present
    Pendlebury Hall, Llc
    Seattle, WA
  • 02/2021 → 08/2023
    Nepc, Llc
    Seattle, WA
  • 03/2020 → 02/2021
    Pendlebury Hall, Llc
    Seattle, WA
  • 02/2024 → Present
    Pendlebury Hall Securities, Llc
    Seattle, WA
  • 02/2024 → Present
    Seattle, WA
  • 11/2024 → Present
    Finalis Securities Llc
    New York, NY
Other Businesses

1.) Pendlebury Hall LLC; Non Investment-related; 2527 24th Ave W, Seattle, WA 98199-3405; Holding company established for Pendlebury Hall Advisors, LLC, and non-commercial real estate; Co-founder and Member; 4/2/2015; 10; 0; Serve as Manager for entity. 2.) Pendlebury Hall Securities, LLC; Investment-related; 2527 24th Ave W, Seattle, WA, 98199; Holding companies for securities-related activities through Finalis Securities LLC for capital placement services to investment managers focused on private market strategies; Owner and serve as CEO & Founding Partner; 02/21/2024; 10; 10; Serve as Manager and for entity. 3.) PH Vintage Motorworks, LLC; not investment-related; 2527 24th Ave W, Seattle, WA, 98199; Provide ownership, restoration and expert witness services for vintage cars; Founder and Member; 07/01/2024; 15; 0; Serve as Manager for entity. 4.) Pendlebury Hall Advisors, LLC; Yes; 2527 24th Ave W, Seattle, WA, 98199; Investment Adviser registered in the State of Washington providing management consulting and capital placement services to investment managers focused on private market strategies; Owner and serve as CEO & Founder Partner; 02/21/2015; 250; 150; Serve as Manager and for entity.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-26
  • S66 Uniform Combined State Law Examination
    2024-04-26

View on SEC IAPD

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