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Brian J Pendleton

Investment Adviser Representative at HENNION & WALSH ASSET MANAGEMENT, INC.

Parsippany, NJCRD #5820800Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
15 yrs
States Registered
44 states
Exams Passed
3

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Brian J. Pendleton has worked in the securities industry since 2011. They are registered to provide investment advisory services in 44 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 44 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutFloridaGeorgiaIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/14/2011
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 8/22/2011

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Hennion & Walsh Asset Management, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

HENNION & WALSH ASSET MANAGEMENT, INC.Current
7/12/2012Parsippany, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
10/18/20117/5/2012Stuart, FL

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian J Pendleton has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Brian J Pendleton - Financial Advisor in Parsippany, NJ | AdvisorFinder