Stephen Walter Pendergast

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2017-12-01
TX	RA	APPROVED_RES	2017-11-29

CT RA
APPROVED

Since 2017-12-01
TX RA
APPROVED_RES

Since 2017-11-29

Branch Locations

1 Landmark Square 12Th Floor, Stamford, CT 06901-2502 • United States

Berwyn, PA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Danbury	CT	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Danbury	CT	11/2016	11/2017
Rbc Capital Markets, Llc	Stamford	CT	11/2017	Present
City National Bank	Stamford	CT	07/2019	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Danbury, CT
11/2016 → 11/2017

Wells Fargo Clearing Services, Llc

Danbury, CT
11/2017 → Present

Rbc Capital Markets, Llc

Stamford, CT
07/2019 → Present

City National Bank

Stamford, CT

Previous Registrations

2008-12-19 → 2017-11-30

Wells Fargo Clearing Services, Llc

Danbury, CT

Danbury, CT
2004-10-25 → 2008-12-26

Ubs Financial Services Inc.

Westport, CT

Westport, CT

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-07
S63	Uniform Securities Agent State Law Examination	1985-08-01

S66 Uniform Combined State Law Examination

2004-10-07
S63 Uniform Securities Agent State Law Examination

1985-08-01

Other Names

Steve Pendergast

View on SEC IAPD