Carol Pennica
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.
Carol Pennica, who also goes by Carol L Creal, Carol L Davis, Carol L Fisher, Carol Linda Pennica, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1996. Carol had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 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
March 27, 2025 - December 31, 2025
BUCK WEALTH STRATEGIES, LLC
October 10, 2008 - March 28, 2025
J. W. COLE ADVISORS, INC.
October 10, 2008 - March 28, 2025
J.W. COLE FINANCIAL, INC.
May 29, 2007 - October 10, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 12, 2002 - October 10, 2008
WORLD GROUP SECURITIES, INC.
December 23, 1996 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
BUCK WEALTH STRATEGIES, LLC
CRD#: 322138 / SEC#: 801-126075
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
BUCK WEALTH STRATEGIES, LLC
CRD#: 322138 / SEC#: 801-126075
Contact information
SEC notice filing (31 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,982 |
| AUM (Assets Under Management) | $ 565,377,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/14/2026 | ||
| 12/03/2024 | ||
| 01/26/2024 |
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.
