Robert L. Penn

WILMINGTON, NC 28403

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CRD#: 2250037

Professional summary

Robert Leslie Penn JR, CFP® was a registered financial advisor .

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. FIXED INSURANCE SALES UNDER NAME PATHFINDER WEALTH CONSULTING, CONDUCTED AT BRANCH, INVESTMENT RELATED. 2. RSP PROPERTIES, LLC, PRESIDENT AND 50% OWNER OF ENTITY CREATED TO OWN AND MANAGE RENTAL PROPERTIES, CONDUCTED AT BRANCH, NOT INVESTMENT RELATED. 3. SHARK TOOTH DIVER, NOT CONDUCTED AT BRANCH, NOT INVESTMENT RELATED. 5. AMSOIL; DEALER IN SYNTHETIC MOTOR OIL PRODUCTS (NO LONGER ACTIVELY SELLING PRODUCTS); NOT CONDUCTED AT BRANCH OFFICE, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

September 26, 2025 - Present

Office #1: 4018 Oleander Drive Suite 102, Wilmington, NC 28403

WILMINGTON, NC

Past

June 10, 2005 - October 6, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Wilmington, NC

Past

June 10, 2005 - July 31, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WILMINGTON, NC

Past

December 31, 2001 - June 13, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WILMINGTON, NC

Past

June 29, 2001 - June 13, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 31, 1993 - June 29, 2001

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

September 8, 1992 - April 7, 1993

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

North Carolina
(9/26/2025)

IAR

Texas
(9/26/2025)

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: 10/24/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/11/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/24/2001

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/28/1993

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/13/2001

Investment Company Products/Variable Contracts Principal Examination

Current firm

No current employment

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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Robert L. Penn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

IFG NETWORK SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2001

Series 63

Date: 10/2/1992

SIE

Date: 10/1/2018

Series 31

Date: 9/11/2002

Series 7

Date: 4/24/2001

Series 22

Date: 4/28/1993

Series 6

Date: 9/4/1992

Series 26

Date: 2/13/2001

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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