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JP

Joshua S. Penner

UNITED FIRST PARTNERS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2414675
JP

Professional summary

Joshua Stuart Penner is a registered financial professional currently at UNITED FIRST PARTNERS LLC located in New York, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 1994. Joshua has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Joshua Stuart Penner'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®
None

Experience

Current

March 1, 2019 - Present

UNITED FIRST PARTNERS LLC

Office #1: 3 Columbus Circle Suite 1730, New York, NY 10019
BD
CRD#: 155456
New York, NY
Past

March 23, 2011 - July 24, 2018

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

May 17, 2010 - March 4, 2011

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

May 7, 2009 - May 17, 2010

ELEVATION, LLC

BD
CRD#: 140341
CHARLOTTE, NC
Past

October 11, 2007 - November 20, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 1, 2003 - August 31, 2006

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

December 11, 2002 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 28, 1997 - November 21, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 1, 1994 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

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

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
Connecticut
(1/17/2020)
RR
Illinois
(1/28/2020)
RR
New York
(1/13/2020)
RR
Pennsylvania
(1/16/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 4/25/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/26/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UF
UNITED FIRST PARTNERS LLC
UNITED FIRST PARTNERS LLC

CRD#: 155456 / SEC#: , 8-68718

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle Suite 1730, New York, NY 10019
Mailing Address
3 Columbus Circle Suite 1730, New York, NY 10019
Phone number
(917) 836-8841
Established
New York since 08/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HADJEDJ, MICHAEL SIMONPRESIDENT, ELECTED MANAGER5854635
MARDEL, STEPHANE CHARLESCO-PRESIDENT5854634
DICKERSON, ELIZABETH ANNECHIEF COMPLIANCE OFFICER1917497
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
SINELNIKOV, PETER SERGEYPRINCIPAL FINANCIAL OFFICER6493208
UNITED FIRST PARTNERS HOLDINGS, LLCSOLE MEMBER

Disclosures

Regulatory Event4

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

UNITED FIRST PARTNERS LLC

CRD#: 155456New York, NY 10019

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