Penny L. Sage
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Penny Lynn Sage, who also goes by Penny Lynn Dewey, Penny Lynn Sage Dewey, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1982. Penny had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2013 - June 23, 2023
MORGAN STANLEY
November 8, 2013 - June 23, 2023
MORGAN STANLEY
October 1, 2012 - November 14, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 14, 2013
J.P. MORGAN SECURITIES LLC
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 13, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 1, 1999 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 22, 1998 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
March 28, 1996 - June 11, 1997
WINGSPAN INVESTMENT SERVICES
October 27, 1993 - March 21, 1996
ESSEX NATIONAL SECURITIES, LLC
August 25, 1993 - October 15, 1993
IDS LIFE INSURANCE COMPANY
August 25, 1993 - October 15, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 5, 1982 - February 21, 1989
IDS LIFE INSURANCE COMPANY
January 5, 1982 - February 21, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
