Connie M. Kreutzer

PENSERRA GLOBAL INVESTORS LLC

Chicago, IL 60605

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CRD#: 1061594

Professional summary

Connie Marie Kreutzer, who also goes by Connie Shackley Kreutzer, is a registered financial advisor currently at PENSERRA GLOBAL INVESTORS LLC located in Chicago, Illinois and PENSERRA SECURITIES, LLC located in Chicago, Illinois.

Connie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Connie has worked at 16 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Connie Shackley Kreutzer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connie Marie Kreutzer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 19, 2018 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 425 South Financial Place Suite 3410, Chicago, IL 60605

RIA

CRD#: 174309

Chicago, IL

Current

August 1, 2012 - Present

PENSERRA SECURITIES, LLC

Office #1: 425 South Financial Place Suite 3410, Chicago, IL 60605

CRD#: 145994

Chicago, IL

Past

January 5, 2018 - June 2, 2025

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

Chicago, IL

Past

May 13, 2016 - December 31, 2017

PENSERRA GLOBAL INVESTORS LLC

RIA

CRD#: 174309

Chcago, IL

Past

June 5, 2015 - December 31, 2017

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

CHICAGO, IL

Past

August 9, 2010 - March 20, 2012

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

CHICAGO, IL

Past

April 8, 2010 - August 5, 2010

PACIFIC AMERICAN SECURITIES, LLC

CRD#: 42999

SAN DIEGO, CA

Past

June 23, 2008 - April 9, 2010

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

CHICAGO, IL

Past

January 26, 2006 - June 10, 2008

LAMBRIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 133166

CHICAGO, IL

Past

May 17, 2005 - April 10, 2006

MELVIN SECURITIES, L.L.C.

CRD#: 29767

CHICAGO, IL

Past

August 22, 2000 - March 10, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 16, 1992 - August 18, 2000

DRIEHAUS SECURITIES LLC

CRD#: 8197

CHICAGO, IL

Past

December 13, 1991 - June 23, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 7, 1990 - May 20, 1991

HOWE BARNES HOEFER & ARNETT, INC.

CRD#: 2240

CHICAGO, IL

Past

March 4, 1988 - November 14, 1989

SMITH NEW COURT, INC.

CRD#: 10510

NEW YORK, NY

Past

May 17, 1986 - March 16, 1988

CARL MARKS & CO., INC.

CRD#: 2666

Past

May 25, 1983 - March 20, 1986

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

August 26, 1982 - March 29, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(1/19/2018)

California
(9/1/2024)

Illinois
(8/1/2012)

Maryland
(7/2/2019)

Minnesota
(1/30/2015)

Missouri
(7/20/2016)

New Jersey
(8/1/2012)

New York
(8/1/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/16/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/20/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA GLOBAL INVESTORS LLC

PENSERRA GLOBAL INVESTORS LLC | PENSERRA TRANSITION MANAGEMENT LLC | PENSERRA INTERNATIONAL SUSTAINABLE SMALL CAP EQUITY FUND, LLC | PENSERRA INTERNATIONAL LARGE CAP EQUITY

CRD#: 174309 / SEC#: 801-131133

RIA

Registered Investment Advisory firm - (9/17/2024 Approved)

California

Registered Investment Advisory firm - (1/16/2025 Terminated)

New York

Registered Investment Advisory firm - (12/17/2024 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,036,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Connie M. Kreutzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connie Marie Kreutzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA SECURITIES, LLC

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA GLOBAL INVESTORS LLC

PENSERRA CAPITAL MANAGEMENT LLC

CITIZENS JMP SECURITIES, LLC

PACIFIC AMERICAN SECURITIES, LLC

KNIGHT CAPITAL AMERICAS, L.P.

LAMBRIGHT FINANCIAL SOLUTIONS, LLC

MELVIN SECURITIES, L.L.C.

BANC OF AMERICA SECURITIES LLC

DRIEHAUS SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

HOWE BARNES HOEFER & ARNETT, INC.

SMITH NEW COURT, INC.

CARL MARKS & CO., INC.

KIDDER, PEABODY & CO. INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

PENSERRA GLOBAL INVESTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2015

Series 63

Date: 9/5/2000

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/20/1998

Series 7

Date: 8/21/1982

Series 24

Date: 5/15/2000

FINRA

Nasdaq Stock Market

Current Firm

PENSERRA GLOBAL INVESTORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA GLOBAL INVESTORS LLC

TRUST BUT VERIFY

Contact information

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