Sean Prendergast has been an investment adviser representative at MPS-Loria Financial Planners,llc since September 2026, and is not listed among the firm’s executive officers or direct owners.
MPS-Loria Financial Planners,llc is a Burr Ridge, IL firm with $827M under management, 679 clients and 5 advisers in one office, as of its February 2026 filing.
Sean Prendergast’s longest registration was 2 years at Morgan Stanley (2022–2025). Before joining MPS-Loria Financial Planners,llc in 2026, Sean Prendergast was registered through Hightower Advisors, LLC and Morgan Stanley.
- – present · under a yearBurr Ridge, IL · Adviser representative · Firm CRD 122866
- Hightower Advisors, LLC– · 1 yearChicago, IL · Adviser representative · Firm CRD 145323
- Morgan Stanley– · 2 yearsChicago, IL · Adviser representative · Firm CRD 149777
- Charles Schwab & Co., Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Sean Prendergast is registered as an investment adviser representative in Illinois, since September 2026.
- IllinoisSince 28 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 27 April 2022 |
| Series 4 | Registered Options Principal Examination | 17 March 2020 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 December 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 1 June 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 October 2016 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 September 2016 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Sean T Prendergast
- CRD
- 6697062
- Firm
- MPS-Loria Financial Planners,llc · CRD 122866
- Office
- 7500 SOUTH COUNTY LINE ROAD, Burr Ridge, IL 60527-6955
- Registration
- Investment adviser registration
- In the industry since
- March 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Sean Prendergast work?
Sean Prendergast is an investment adviser representative registered through MPS-Loria Financial Planners,llc since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Sean Prendergast a financial advisor?
Yes. Sean Prendergast has a current investment-adviser registration in Illinois, through MPS-Loria Financial Planners,llc since September 2026.
How many years of experience does Sean Prendergast have?
Sean Prendergast has 9 years in the financial industry, since March 2017, across 4 adviser firms.
What exams has Sean Prendergast passed?
Sean Prendergast has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 65, Series 4 and Series 9. The earliest, the Series 6, was passed in September 2016. FINRA credited Sean Prendergast with the SIE, which began in October 2018.
Where did Sean Prendergast work before MPS-Loria Financial Planners,llc?
Before MPS-Loria Financial Planners,llc, Sean Prendergast was registered through Hightower Advisors, LLC, July 2025 to August 2026; Morgan Stanley, October 2022 to June 2025; Charles Schwab & Co., Inc., January 2021 to July 2022.
Where is Sean Prendergast based?
Sean Prendergast’s registered office is in Burr Ridge, IL.
Is Sean Prendergast registered with FINRA?
No. Sean Prendergast has no current broker registration.
How can I verify Sean Prendergast’s record?
Search CRD 6697062 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sean Prendergast’s full registration record.
