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Robert Leslie Penn JR

Robert L. Penn

PATHFINDER WEALTH CONSULTING
WILMINGTON, NC 28403
Some features on this profile are disabled
CRD#: 2250037
Robert Leslie Penn JR

Professional summary

Robert Leslie Penn JR, CFP® is a registered financial advisor currently at PATHFINDER WEALTH CONSULTING located in Wilmington, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Robert has 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Leslie Penn JR's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Current

September 26, 2025 - Present

PATHFINDER WEALTH CONSULTING

Office #1: 4018 Oleander Drive Suite 102, Wilmington, NC 28403
RIA
CRD#: 336658
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

BD
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.

BD
CRD#: 7556
PURCHASE, NY
Past

March 31, 1993 - June 29, 2001

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

September 8, 1992 - April 7, 1993

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PW
PATHFINDER WEALTH CONSULTING
PATHFINDER WEALTH CONSULTING | PATHFINDER WEALTH CONSULTING, INC.

CRD#: 336658 / SEC#: 801-134277

RIA
Registered Investment Advisory firm - (9/2/2025 Approved)

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)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/24/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/11/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 4/28/1993
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/4/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/13/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PW
PATHFINDER WEALTH CONSULTING
PATHFINDER WEALTH CONSULTING | PATHFINDER WEALTH CONSULTING, INC.

CRD#: 336658 / SEC#: 801-134277

RIA
Registered Investment Advisory firm - (9/2/2025 Approved)
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Contact information

Main Address
4018 Oleander Drive Suite 102, Wilmington, NC 28403
Mailing Address
Phone number
(910) 793-0616
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DECEMBER 2025 ADV PART 2 BROCHURE (12/15/2025)

Regulatory assets under management

Total Number of Accounts653
AUM (Assets Under Management)$ 847,420,810

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.

Company Information

PATHFINDER WEALTH CONSULTING

CRD#: 336658Wilmington, NC 28403

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