DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Edward Francis Prendergast

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

Westbrook, CT | Glastonbury, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:146d6cfc-071e-40e9-df09-6cda39a78677

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 4, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 27, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 27, 1996
First registration: Mar 4, 2010
Dual registered: yes, broker-dealer
Other names: EDWARD FRANCIS PRENDERGAST|EDWARD FRANCIS PRENDERGAST|EDWARD FRANCIS PRENDERGAST|ED PRENDERGAST
IAPD individual key: 2669898

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 25, 2025	n/a	yes	Westbrook, CT\|Glastonbury, CT	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Feb 18, 2022	Sep 26, 2025	no	Westbrook, CT\|Glastonbury, CT	Previous registration
EDWARD JONES	National bd RIA	Feb 10, 2014	Feb 22, 2022	no	LONGMEADOW, MA\|EAST LONGMEADOW, MA\|ST LOUIS, MO\|EAST LONGMEADOW, MA	Previous registration
MORGAN STANLEY	Wirehouse	Mar 4, 2010	Nov 9, 2011	no	Boston, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JANNEY MONTGOMERY SCOTT LLC	RAYMOND JAMES & ASSOCIATES, INC.	Sep 26, 2025	Sep 25, 2025	-1	Firm change	Ibd to ibd
EDWARD JONES	JANNEY MONTGOMERY SCOTT LLC	Feb 22, 2022	Feb 18, 2022	-4	Firm change	Ibd to ibd
MORGAN STANLEY	EDWARD JONES	Nov 9, 2011	Feb 10, 2014	824	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (4)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Sep 25, 2025 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Feb 18, 2022 to Sep 26, 2025factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 10, 2014 to Feb 22, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 4, 2010 to Nov 9, 2011factForm ADV

Dated events

Occurred
Sep 26, 2025
Advisor changed firm
Edward Francis Prendergast left Janney Montgomery Scott Llc for Raymond James & Associates, Inc. (registered 2025-09-25)
Form ADVobserved 5 days ago
Occurred
Feb 22, 2022
Advisor changed firm
Edward Francis Prendergast left Edward Jones for Janney Montgomery Scott Llc (registered 2022-02-18)
Form ADVobserved 5 days ago