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BP
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Brian J Pendleton
Hennion & Walsh Asset Management, INC.
14 Years of Experience
1 Disclosure
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
Financial Planning & Coaching
Hennion & Walsh Asset Management, INC.
Compensation
Commission-Based
Fee-Only (AUM)
Firm Size
67 advisors
Number of Clients
861 clients
Average Client Portfolio
$685K average
Assets Under Management
$590.1M
Fee Structure
Minimum Investment:
$50K
Financial Planning:
Investment management only
Investment Management
Planning
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Location
2001 Route 46, Waterview Plaza, Parsippany, NJ, 07054
Get directions
History
Regulatory History (1)
What are disclosures?
Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations.
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Customer Dispute
June 2017
Denied
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How to Read Disclosures
Employment History
Current Registrations
Hennion & Walsh Asset Management, INC.
July 2012 - Present · 13 yrs 7 mos
Hennion & Walsh, INC.
Broker
July 2012 - Present · 13 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2011 - July 2012 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Broker
August 2011 - July 2012 · 11 mos
State Registrations
44 states
AK
AL
AR
AZ
CA
CO
CT
FL
GA
IA
ID
IL
IN
KS
KY
LA
MA
MD
ME
MI
MN
MO
NC
ND
NE
NH
NJ
NM
NV
NY
OH
OK
OR
PA
SC
TN
TX
UT
VA
VT
WA
WI
WV
WY
Advisor
Broker
Both
Exams
No exam information available for this advisor.