James C. Penman

DONNELLY PENMAN & PARTNERS

GROSSE POINTE WOODS, MI 48236

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CRD#: 2407009

Professional summary

James Carl Penman, who also goes by James C Penman, is a registered financial professional currently at DONNELLY PENMAN & PARTNERS located in Grosse Pointe Woods, Michigan.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James C Penman

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) - BD

Click below to view James Carl Penman'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®

None

Experience

Current

January 5, 2001 - Present

DONNELLY PENMAN & PARTNERS

Office #1: 63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236Office #2: 20902 Mack Avenue, Grosse Pointe Woods, MI 48236

CRD#: 104448

GROSSE POINTE WOODS, MI

Past

June 16, 1998 - September 29, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 11, 1998 - September 25, 1999

RONEY & CO.

CRD#: 45091

DETROIT, MI

Past

May 8, 1998 - June 2, 1999

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

October 27, 1993 - May 11, 1998

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

State Registrations and Notice Filings

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

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

Michigan
(2/1/2001)

Exams

State Security Law Exam

Series 63

Date: 11/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/7/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DONNELLY PENMAN & PARTNERS

DONNELLY PENMAN & PARTNERS | DONNELLY, PENMAN, FRENCH, HAGGARTY & CO. | DONNELLY PENMAN & PARTNERS INC.

CRD#: 104448 / SEC#: , 8-52909

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236

Mailing Address

63 Kercheval Avenue, Suite 112, Grosse Pointe Woods, MI 48236

Phone number

(313) 446-9900

Established

Michigan since 08/11/2000

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CHRISTIANS, ANDREW CHARLES	TREASURER	5275038
CUNNINGHAM, GREGORY H	SENIOR VICE PRESIDENT	6009077
LAMB, JEREMY LOUIS	SECRETARY	4577771
PENMAN, JAMES CARL	CEO	2407009
VORHEES, ROY WEBSTER IV	SENIOR VICE PRESIDENT	4350755
BERNARD, JOHN XAVIER	ASSOCIATE	6828249
MOLITOR, MICHAEL ARTHUR	ASSOCIATE	7453889
SADZEWICZ, GERY JOSEPH	CHIEF COMPLIANCE OFFICER	1090963
SHEA, THOMAS EDWARD	FINOP	2299633

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

James C. Penman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Carl Penman's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RONEY & CO.

BANC ONE CAPITAL MARKETS, INC.

RONEY & CO. L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/1993

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/26/1993

Series 24

Date: 4/7/1994

FINRA

Current Firm

DONNELLY PENMAN & PARTNERS

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DONNELLY PENMAN & PARTNERS

TRUST BUT VERIFY

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