J. D. Penn
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.
J. Derek Penn, who also goes by Derek Penn, J. D Penn, was a registered financial professional .
J. is a previously registered financial professional and started their career in finance in 1984. J. had worked at 9 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 7TO, SIE, Series 55, Series 7, Series 9, Series 10 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
June 18, 2020 - March 10, 2021
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
January 2, 2014 - June 25, 2018
BNY MELLON CAPITAL MARKETS, LLC
June 26, 2007 - July 8, 2011
PERSHING ADVISOR SOLUTIONS LLC
May 26, 2006 - January 7, 2014
PERSHING LLC
November 6, 2003 - April 4, 2005
CORRESPONDENT SERVICES CORPORATION
August 4, 1998 - September 12, 2005
NATIONAL FINANCIAL SERVICES LLC
April 28, 1994 - June 30, 1998
LEHMAN BROTHERS INC.
August 6, 1992 - March 1, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 1984 - July 9, 1992
MORGAN STANLEY & CO. LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 9/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 7 |
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.
