PA
Penny J. Agnew
MOMENTUM INDEPENDENT NETWORK
La Mesa, CA 91942
Some features on this profile are disabled
CRD#: 2374112
PA
Professional summary
Penny Jo Agnew, who also goes by Penny Jo Vogel, is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in La Mesa, California.
Penny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Penny has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Penny Jo Vogel
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. 5/25/2017 - Schindler Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/18/2011 - 160 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Penny Jo Agnew's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Penny Jo Agnew'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®
NoneExperience
Current
February 3, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 7777 Alvarado Rd. Suite 621, La Mesa, CA 91942RIA
BD
CRD#: 17587
La Mesa, CA
Current
February 3, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 7777 Alvarado Rd. Suite 621, La Mesa, CA 91942RIA
BD
CRD#: 17587
La Mesa, CA
Past
April 21, 2016 - February 24, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
LA MESA, CA
Past
April 21, 2016 - February 24, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
LA MESA, CA
Past
February 28, 2012 - April 22, 2016
CETERA ADVISORS LLC
RIA
CRD#: 10299
LA MESA, CA
Past
February 28, 2012 - April 22, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
LA MESA, CA
Past
March 4, 2011 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
March 4, 2011 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
LA MESA, CA
Past
June 1, 2009 - February 1, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SAN DIEGO, CA
Past
June 1, 2009 - February 1, 2011
MORGAN STANLEY
BD
CRD#: 149777
SAN DIEGO, CA
Past
July 1, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN DIEGO, CA
Past
June 4, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN DIEGO, CA
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/27/2025)
IAR
Arizona(5/14/2025)
RR
Arkansas(4/27/2025)
IAR
Arkansas(5/5/2025)
RR
California(2/3/2025)
IAR
California(2/3/2025)
RR
Colorado(4/27/2025)
IAR
Colorado(4/28/2025)
RR
Florida(4/27/2025)
IAR
Florida(4/28/2025)
RR
Georgia(4/27/2025)
IAR
Georgia(4/28/2025)
RR
Hawaii(4/27/2025)
IAR
Hawaii(4/29/2025)
RR
Idaho(4/27/2025)
IAR
Idaho(4/28/2025)
RR
Illinois(4/27/2025)
IAR
Illinois(4/28/2025)
RR
Indiana(4/27/2025)
IAR
Indiana(4/28/2025)
RR
Michigan(4/27/2025)
IAR
Michigan(4/30/2025)
RR
Mississippi(4/27/2025)
IAR
Mississippi(4/29/2025)
RR
Missouri(4/27/2025)
IAR
Missouri(4/29/2025)
RR
Montana(4/27/2025)
IAR
Montana(5/1/2025)
RR
Nevada(4/27/2025)
IAR
Nevada(4/28/2025)
RR
New Mexico(4/27/2025)
IAR
New Mexico(4/28/2025)
RR
North Carolina(4/27/2025)
IAR
North Carolina(4/29/2025)
RR
Oklahoma(4/27/2025)
IAR
Oklahoma(4/28/2025)
RR
Oregon(4/27/2025)
IAR
Oregon(4/29/2025)
RR
Pennsylvania(4/27/2025)
IAR
Pennsylvania(4/28/2025)
RR
South Dakota(4/27/2025)
IAR
South Dakota(4/28/2025)
RR
Tennessee(4/27/2025)
RR
Texas(4/27/2025)
IAR
Texas(4/28/2025)
RR
Utah(4/27/2025)
IAR
Utah(4/28/2025)
RR
Vermont(4/27/2025)
IAR
Vermont(4/28/2025)
RR
Virginia(4/27/2025)
IAR
Virginia(4/28/2025)
RR
Washington(4/27/2025)
IAR
Washington(4/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
