David Jeffrey Penney
Professional Summary
David Jeffrey Penney, who also goes by D. Jeffrey Penney, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1986 - 2019. David had worked at 6 firms and has passed the Series 63, SIE, Series 16, Series 3, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
D. Jeffrey Penney
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
BROADHAVEN SECURITIES LLC
Contact Information
Main Address
155 North Wacker Suite 4440, Chicago, IL 60606Mailing Address
155 North Wacker Suite 4440, Chicago, IL 60606Phone Number
(312) 621-9801Established
Delaware since 04/04/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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