John M. Penn
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.
John Michael Penn, who also goes by John Penn, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2014 - December 31, 2016
EDI INVESTMENT ADVISOR CORPORATION
June 2, 2009 - December 31, 2013
EDI INVESTMENT ADVISOR CORPORATION
July 18, 2005 - December 31, 2016
EDI FINANCIAL, INC.
December 6, 1999 - July 19, 2005
EQUITABLE ADVISORS, LLC
July 15, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 15, 1997 - July 19, 2005
EQUITABLE ADVISORS, LLC
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
EDI INVESTMENT ADVISOR CORPORATION
CRD#: 124129 / SEC#:
Contact information
Red Flags
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