Penny A. Viscomi
Professional summary
Penny Ann Viscomi, who also goes by Penny Ann Arnold, Penny Ann Arnold, Penny Ann Burris, Penny Ann VIscomi, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Penny is registered as a RR (Registered Representative) and started their career in finance in 1998. Penny has worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Penny Ann Viscomi's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2017 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111November 2, 2015 - December 1, 2017
ONEAMERICA SECURITIES, INC.
January 14, 2013 - February 4, 2015
FSC SECURITIES CORPORATION
January 27, 2009 - December 10, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 6, 2009 - December 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 5, 2006 - April 20, 2007
STATE FARM VP MANAGEMENT CORP.
December 12, 2005 - June 12, 2006
OSAIC FA, INC.
December 7, 2005 - April 21, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 7, 2005 - June 12, 2006
OSAIC FA, INC.
October 19, 2001 - November 10, 2005
OSAIC FA, INC.
July 14, 2000 - November 10, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 14, 2000 - November 10, 2005
OSAIC FA, INC.
April 19, 2000 - July 5, 2000
NATHAN & LEWIS SECURITIES, INC.
January 13, 2000 - March 6, 2000
OSAIC FA, INC.
June 17, 1999 - November 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 1998 - May 3, 1999
MORGAN STANLEY DW 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
(6/17/2025)
(11/1/2024)
(11/1/2024)
(11/1/2024)
Exams
FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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