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JP

Johnnie M. Penner

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CRD#: 1081126
JP

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.

Johnnie Mark Penner was a registered financial professional .

Johnnie is a previously registered financial professional and started their career in finance in 1982. Johnnie had worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 26, 1986 - December 22, 1987

HANOVER INVESTMENT SECURITIES, INC.

BD
CRD#: 10983
Past

January 3, 1984 - February 25, 1984

TAX ORIENTED INVESTORS, INC.

BD
CRD#: 10560
Past

November 12, 1982 - February 21, 1984

HANOVER INVESTMENT SECURITIES, INC.

BD
CRD#: 10983

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/19/1982
General Securities Principal Examination

Current Firm

HI
HANOVER INVESTMENT SECURITIES, INC.
HANOVER INVESTMENT SECURITIES | J. PENNER & COMPANY, INCORPORATED | HANOVER INVESTMENT SECURITIES, INC.

CRD#: 10983 / SEC#: , 8-29011

BD
Cancelled by SEC on 05/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 03/08/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLMEYER, BERNARD JOHN JRCHAIRMAN, JOINT OWNERSHIP WITH PCW/SEC/TREAS/CFO713211
WELLMEYER, BERNARD JOHN JRCHIEF COMPLIANCE OFFICER713211
WELLMEYER, PHYLLIS CANTRELLJOINT WITH BJW/STOCK HOLDER
COTTON, DEBORAH ANNPRESIDENT1614217
STUCKENSCHNEIDER, KENNETH LEOSTOCK HOLDER/JOINT OWNER WITH RMS438988
STUCKENSCHNEIDER, ROSE MSTOCK HOLDER/JOINT OWNER WITH KLS

Disclosures

Regulatory Event2

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.

Company Information

HANOVER INVESTMENT SECURITIES, INC.

CRD#: 10983

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