Colby J. Penzone
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.
Colby Joseph Penzone was a registered financial professional .
Colby is a previously registered financial professional and started their career in finance in 1996. Colby had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2014 - May 18, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
December 24, 2014 - November 15, 2024
NATIONAL FINANCIAL SERVICES LLC
December 24, 2014 - November 15, 2024
FIDELITY DISTRIBUTORS COMPANY LLC
March 16, 2007 - February 11, 2009
FIDELITY DISTRIBUTORS CORPORATION
February 12, 2004 - November 15, 2024
FIDELITY BROKERAGE SERVICES LLC
December 7, 2000 - September 12, 2003
CHARLES SCHWAB & CO., INC.
April 15, 1998 - March 2, 2000
FUNDS DISTRIBUTOR, LLC
October 10, 1997 - March 4, 1998
MORGAN STANLEY DEAN WITTER ONLINE INC.
July 15, 1996 - April 14, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PYRAMIS DISTRIBUTORS CORPORATION LLC
CRD#: 146430 / SEC#: , 8-67821
Contact information
Documents
Red Flags
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