Penny A. Soennichsen
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.
Penny Ann Soennichsen, who also goes by Penny Ann Soennichsenponto, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1991. Penny had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2003 - February 7, 2012
BLUE MOON FINANCIAL, LLC
September 22, 1999 - March 1, 2002
SLD AMERICA EQUITIES, INC.
April 30, 1997 - January 23, 1998
CINCINNATI ANALYSTS, INC.
June 14, 1995 - April 8, 1997
INVESCO DISTRIBUTORS, INC.
July 2, 1992 - August 23, 1993
WADDELL & REED
December 5, 1991 - December 9, 1991
MORGAN STANLEY DW 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
BLUE MOON FINANCIAL, LLC
CRD#: 123224 / SEC#: , 8-65576
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
