Scott T. Penwarden

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CRD#: 1235216

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.

Scott Thayer Penwarden was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1984. Scott had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

September 20, 2001 - January 17, 2006

WULFF, HANSEN & CO.

CRD#: 908

SAN RAFAEL, CA

Past

December 15, 2000 - May 24, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 24, 1984 - December 19, 2000

SECURITIES RESOLUTION CORPORATION

CRD#: 7119

MINNEAPOLIS, MN

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".

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/7/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Current Firm

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903

Mailing Address

100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

Phone number

(415) 421-8900

Established

California since 12/28/1931

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WULFF CAPITAL MANAGEMENT (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CHARLES, CHRISTOPHER DONALD	PRESIDENT, CCO CHIEF COMPLIANCE OFFICER	709131
PANKRATZ, ROBERT JOHN	MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT	6911222
STEINKAMP, DENNIS HENRY	SENIOR VICE PRESIDENT	1356304
TU, KIM B	CFO/POO FOR REGULATORY PURPOSES ONLY	2047262

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 132,528,477

Disclosures

Regulatory Event	4
Bond	1

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.

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Scott T. Penwarden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

SECURITIES RESOLUTION CORPORATION

Primary Firm SEC Registration

WULFF, HANSEN & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2000

Series 63

Date: 3/2/1984

Series 7

Date: 2/18/1984

Current Firm

WULFF, HANSEN & CO.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WULFF, HANSEN & CO.

TRUST BUT VERIFY

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