Robert D. Penn

PENN ADVISORY GROUP

Mount Vernon, IA

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CRD#: 1955142

Professional summary

Robert David Penn SR, who also goes by Robert David Penn, is a registered financial advisor currently at PENN ADVISORY GROUP INC. located in Mount Vernon, Iowa.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert David Penn

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Penn SR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 5, 2021 - Present

PENN ADVISORY GROUP INC.

RIA

CRD#: 315991

Mount Vernon, IA

Past

October 20, 2018 - October 12, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Mount Vernon, IA

Past

October 20, 2018 - October 12, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MT. VERNON, IA

Past

October 29, 2008 - October 20, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

MT VERNON, IA

Past

January 5, 1995 - October 20, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

MT. VERNON, IA

Past

December 14, 1994 - January 5, 1995

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

Past

August 12, 1994 - December 12, 1994

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

October 28, 1992 - August 13, 1994

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

July 18, 1989 - October 28, 1992

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Iowa
(10/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/16/2000

General Securities Principal Examination

Current Firm

PENN ADVISORY GROUP INC.

CRD#: 315991 / SEC#:

Iowa

Registered Investment Advisory firm - (9/30/2021 Approved)

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Contact information

Main Address

1307 3rd Street Sw, Mount Vernon, IA 52314

Mailing Address

Phone number

(319) 535-0262

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 27,821,691

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.

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Advisor Monitoring

Firm Stability Insights

Robert D. Penn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert David Penn SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

BROKER DEALER FINANCIAL SERVICES CORP.

ESSEX NATIONAL SECURITIES, LLC

TD AMERITRADE CLEARING, INC.

AEGON USA SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2008

Series 63

Date: 7/20/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1989

Series 24

Date: 10/16/2000

Current Firm

PENN ADVISORY GROUP INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENN ADVISORY GROUP INC.

TRUST BUT VERIFY

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