Penny J. Fulton
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.
Penny Jones Fulton, who also goes by Penny Sue Fulton, Penny Sue Jones, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 1997. Penny had worked at 3 firms and has passed the Series 63, SIE, 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
July 22, 2015 - June 1, 2017
ON INVESTMENT MANAGEMENT CO
April 16, 2015 - June 1, 2017
THE O.N. EQUITY SALES COMPANY
February 4, 2009 - April 6, 2015
THE O.N. EQUITY SALES COMPANY
September 10, 2007 - January 21, 2009
VOYA FINANCIAL ADVISORS, INC.
June 15, 2007 - January 21, 2009
VOYA FINANCIAL ADVISORS, INC.
May 16, 1997 - June 1, 2007
THE O.N. EQUITY SALES COMPANY
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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.
