Michael D. Penfield
Professional summary
Michael D Penfield, who also goes by Michael Day Penfield, Michael Penfield, is a registered financial advisor currently at PENFIELD INVESTMENTS LLC located in Central Point, Oregon.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Michael has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael D Penfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2022 - Present
PENFIELD INVESTMENTS LLC
December 17, 2019 - March 1, 2022
EDWARD JONES
November 25, 2019 - March 1, 2022
EDWARD JONES
June 16, 1993 - August 20, 1999
COWEN AND COMPANY
January 23, 1992 - June 14, 1993
LODESTAR SECURITIES INC.
November 4, 1991 - February 14, 1992
LODESTAR PARTNERS, L.P.
March 25, 1988 - November 12, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/30/2022)
(5/3/2022)
Exams
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
PENFIELD INVESTMENTS LLC
CRD#: 320883 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 4,284,636 |
Red Flags
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