Andrew W. Penzell
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.
Andrew Wade Penzell, who also goes by Adrew W Penzell, Andrew W Penzell, Andy Penzell, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2017 - November 7, 2017
AVANTAX ADVISORY SERVICES
December 15, 2016 - November 7, 2017
AVANTAX INVESTMENT SERVICES, INC.
July 24, 2015 - June 16, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 15, 2015 - June 16, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
August 23, 2012 - June 15, 2015
KOVACK ADVISORS, INC.
August 23, 2012 - June 15, 2015
KOVACK SECURITIES INC.
July 20, 2005 - August 23, 2012
SPC
July 19, 2005 - August 23, 2012
SIGMA FINANCIAL CORPORATION
March 27, 2000 - August 9, 2005
PRIME CAPITAL SERVICES, INC.
January 7, 1993 - July 16, 1998
NATIONAL PLANNING CORPORATION
October 31, 1991 - May 7, 1992
THOMAS J. HERZFELD & CO., INCORPORATED
July 24, 1989 - May 24, 1990
MAIN STREET MANAGEMENT COMPANY
January 2, 1987 - April 6, 1989
FORESTERS FINANCIAL SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
