Richard A. Penix
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.
Richard Allen Penix, who also goes by Richard A Penix, Rick Penix, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - October 15, 2021
TRUIST ADVISORY SERVICES, INC.
February 17, 2021 - October 15, 2021
TRUIST INVESTMENT SERVICES, INC.
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
February 25, 2011 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
June 28, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
December 18, 2008 - October 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2004 - October 23, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 21, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 6, 1987 - April 4, 1995
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
