Penny P. Hill
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 Poe Hill, CIMA®, who also goes by Penny Elizabeth Doe, Penny P Hill, Penny Elizabeth Poe, Penney Poe Searles, Penny Poe Searles, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1985. Penny had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2017 - July 17, 2018
RAYMOND JAMES & ASSOCIATES, INC.
December 11, 2017 - July 17, 2018
RAYMOND JAMES & ASSOCIATES, INC.
April 17, 2008 - December 27, 2016
BNY MELLON SECURITIES CORPORATION
April 9, 2007 - December 27, 2016
BNY MELLON SECURITIES CORPORATION
June 2, 2000 - April 9, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 28, 1997 - May 24, 2000
THRIVENT INVESTMENT MANAGEMENT INC.
August 10, 1994 - January 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 1993 - August 23, 1994
D.E. FREY & COMPANY, INC.
June 11, 1990 - April 13, 1993
LEHMAN BROTHERS INC.
May 14, 1988 - April 13, 1993
LEHMAN BROTHERS INC.
November 20, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
