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PP

Paul R. Penney

PARTNERCAP SECURITIES
BLUFFTON, SC 29910
Some features on this profile are disabled
CRD#: 2968356
PP
Paul Richard PenneyPARTNERCAP SECURITIES

Professional summary

Paul Richard Penney is a registered financial professional currently at PARTNERCAP SECURITIES, LLC located in Bluffton, South Carolina.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1998. Paul has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 86, Series 87 and Series 7 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Richard Penney'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

July 10, 2024 - Present

PARTNERCAP SECURITIES, LLC

Office #1: 43 Station Loop, Bluffton, SC 29910
BD
CRD#: 107130
BLUFFTON, SC
Past

August 11, 2021 - June 11, 2024

UMERGENCE LLC

BD
CRD#: 284368
PLANTSVILLE, CT
Past

November 1, 2016 - April 24, 2019

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

September 22, 2014 - November 9, 2015

PIPER SANDLER & CO.

BD
CRD#: 665
LOS ANGELES, CA
Past

April 21, 2011 - December 1, 2013

COMPASS NORTH ADVISORS, LLC

RIA
CRD#: 152767
SAN FRANCISCO, CA
Past

July 24, 2006 - July 28, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 17, 2006 - June 2, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

August 6, 2001 - January 5, 2006

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 1, 1998 - June 18, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

July 28, 1998 - September 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/23/2024)
RR
South Carolina
(8/28/2024)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 8/19/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
PR
Series 65
Status Unavailable
Passed: 4/20/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Status Unavailable
Passed: 12/27/2016
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Status Unavailable
Passed: 12/2/2016
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 9/22/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PARTNERCAP SECURITIES, LLC
HILLSBORO CAPITAL, LLC | VAN HEDGE FUND ADVISORS INTERNATIONAL, LLC | VAN HEDGE FUND ADVISORS INTERNATIONAL INC | PARTNERCAP SECURITIES, LLC | PARTNER CAPITAL GROUP, LLC

CRD#: 107130 / SEC#: , 8-66997

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
43 Station Loop, Bluffton, SC 29910
Mailing Address
25 Thurmond Way # 2406, Bluffton, SC 29910
Phone number
(843) 705-1051
Established
Tennessee since 12/12/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PARTNER CAPITAL GROUP, LLCBENEFICIAL OWNER
VAN, JOHN CHRISTOPHERFINOP, CFO, DIRECTOR2644450
WRIGHT, PETER ANTHONYDIRECTOR, PRESIDENT3088821
COCKE, PHILIP ST. G. VDIRECTOR, CHAIRMAN, CHIEF COMPLIANCE OFFICER, AML PRINCIPAL819248
WRIGHT, PETER ANTHONYDIRECTOR OF RESEARCH3088821

Disclosures

Regulatory Event1

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.

Company Information

PARTNERCAP SECURITIES, LLC

CRD#: 107130Bluffton, SC 29910

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