Penelope T. Jackson
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.
Penelope Taubert Jackson, who also goes by Penelope Ann Jackson, Penelope Taubert Jackson, Penny Jackson, Penny Taubert, Penelope Ann Taubertjackson, Penny Taubertjackson, was a registered financial professional .
Penelope is a previously registered financial professional and started their career in finance in 1996. Penelope had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2018 - December 1, 2023
VANDERBILT SECURITIES, LLC
August 23, 2013 - February 8, 2017
CALVERT INVESTMENT DISTRIBUTORS, INC.
November 8, 2007 - November 17, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 29, 2007 - November 17, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 21, 1997 - October 10, 2006
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 8, 1997 - November 11, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
November 25, 1996 - May 19, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
November 25, 1996 - November 11, 1997
IDS LIFE INSURANCE COMPANY
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
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
