Michael C. Pennica

BUCK WEALTH STRATEGIES

ROCKFIELD, KY

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CRD#: 2821549

Professional summary

Michael Charles Pennica is a registered financial advisor currently at BUCK WEALTH STRATEGIES, LLC located in Rockfield, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)BUCK WEALTH STRATEGIES, LLC; INVESTMENT-RELATED; 2975 BROADMOOR VALLEY RD STE 201, COLORADO SPRINGS, CO 80906; FINANCIAL ADVISER; 03/2025 TO PRESENT; 160 HR/MO, 160 DURING TRADING HOURS (2)E.A. BUCK INSURANCE DBA BUCK FINANCIAL STRATEGIES; INVESTMENT-RELATED; 2975 BROADMOOR VALLEY RD STE 201, COLORADO SPRINGS, CO 80906; INSURANCE AGENT; 03/2025 TO PRESENT; 160 HR/MO, 160 DURING TRADING HOURS (3)ANGIOLETTO, LLC. / REAL ESTATE HOLDING COMPANY / 01/2010 / 1 HOUR PER WEEK / $1000 ANNUAL (ESTIMATED) / NON-INVESTMENT RELATED (4) LONESOME DOVE RANCH, LLC / RANCH / GENERAL MANAGER / 5/2022 / MANAGE RANCH ACTIVITIES / 0 TRADING HOUR PER WEEK / NON-INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Pennica's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 25, 2025 - Present

BUCK WEALTH STRATEGIES, LLC

RIA

CRD#: 322138

ROCKFIELD, KY

Past

October 10, 2008 - March 28, 2025

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Colorado Springs, CO

Past

October 10, 2008 - March 28, 2025

J.W. COLE FINANCIAL, INC.

CRD#: 124583

COLORADO SPRINGS, CO

Past

July 27, 2007 - October 10, 2008

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

COLORADO SPRINGS, CO

Past

April 12, 2002 - October 10, 2008

WORLD GROUP SECURITIES, INC.

CRD#: 114473

COLORADO SPRINGS, CO

Past

December 23, 1996 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BUCK WEALTH STRATEGIES, LLC

BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES

CRD#: 322138 / SEC#: 801-126075

RIA

Registered Investment Advisory firm - (7/12/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/25/2025)

IAR

Kentucky
(10/2/2025)

IAR

Texas
(3/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/27/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

BUCK WEALTH STRATEGIES, LLC

BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES

CRD#: 322138 / SEC#: 801-126075

RIA

Registered Investment Advisory firm - (7/12/2022 Approved)

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Contact information

Main Address

4600 S. Syracuse Street Suite 650, Denver, CO 80237

Mailing Address

Phone number

(888) 210-6567

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (8/11/2025)

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
12/03/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Michael C. Pennica

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Charles Pennica's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

BUCK WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2007

Series 63

Date: 8/29/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/26/2015

Series 6

Date: 12/20/1996

Series 26

Date: 2/27/1999

Current Firm

BUCK WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BUCK WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

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