Penelope P. Hartline
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.
Penelope Parker Hartline, who also goes by Penelope Lynn Hartline, Penelope Lynn Parker, Penney Parker, was a registered financial professional .
Penelope is a previously registered financial professional and started their career in finance in 1985. Penelope had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
November 9, 2017 - June 28, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 2005 - November 20, 2017
STONEX SECURITIES INC.
January 23, 2002 - November 12, 2003
COLONIAL BROKERAGE, INC.
October 20, 2000 - January 18, 2002
FISERV INVESTOR SERVICES, INC.
November 9, 1995 - April 20, 1999
PFIC SECURITIES CORPORATION
April 23, 1994 - July 7, 1995
PFIC SECURITIES CORPORATION
January 23, 1990 - May 18, 1992
MONY SECURITIES CORPORATION
August 25, 1986 - January 1, 1990
WACHOVIA BROKERAGE SERVICE
October 22, 1985 - March 24, 1986
THE ROBINSON-HUMPHREY COMPANY, 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
