Penny J. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Penny Jean Thomas, who also goes by Penny Jean Price, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1996. Penny had worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2007 - June 5, 2024
VALMARK SECURITIES, INC.
January 3, 2003 - April 27, 2007
HIMCO DISTRIBUTION SERVICES COMPANY
March 12, 2002 - December 20, 2002
HARTFORD FUNDS DISTRIBUTORS, LLC
December 6, 1996 - January 4, 2002
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALMARK SECURITIES, INC.
CRD#: 31243 / SEC#: , 8-45463
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
