John Alan Pendergrast

Current Employers

Employment History

• 05/2013 → Present
  Rbc Capital Markets, Llc
  Houston, TX

Previous Registrations

• 2006-09-22 → 2013-06-07
  Raymond James & Associates, Inc.
  Houston, TX
• 1989-06-01 → 2006-01-26
  Legg Mason Wood Walker, Incorporated
  Houston, TX

Other Businesses

1)FRIENDS OF FONDREN LIBRARY-RICE UNIVERSITY; RICE UNIVERSITY; HOUSTON TX; NON PROFIT ORGANIZATION SUPPORTING RICE FOUNDREN CHILDREN; START:9/1/15; END:05/01/18;DIRECTOR;BOARD OF DIRECTORS-ADMINISTERING PROGRAMS OF THE FONDREN LIBRARY; HOURS PER MONTH: 2; HOURS DURING TRADING HOURS: 0 2) Name of entity: Rice Baseball Insider's Club Non-Investment related Address: 6100 Main Street Houston, Texas 77005 Nature of OBA: Booster club for baseball team Position/Title/Relationship: Director Start Date: 07/01/19 Time Devoted: 1/4 hour per week; 0 during securities trading hours Duties: provide input on proposed projects which benefit the Rice U. baseball team (3) NAME OF ENTITY: Rice Baseball Insiders Club ADDRESS: 6100 Main St, Houston, TX 77005 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE: Jan 01, 2020 CAPACITY: Director DUTIES: Fundraising. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-08-15
• S63 Uniform Securities Agent State Law Examination
  1981-07-24

Other Names

• John Jack Pendergrast