BP
Brian L. Penney
PACKERLAND BROKERAGE SERVICES
Litchfield Park, AZ
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CRD#: 3051604
BP
Professional summary
Brian L Penney, who also goes by Brian Lee Penney, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Litchfield Park, Arizona.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Lee Penney
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.CAPITAL SYNERGIES-Y-Litchfield Park, AZ-SECURITIES SALES-MANAGING PARTNER-02/1996-160-160-DBA NAME FOR SECURITIES BUSINESS. 2.Capital Synergies, LLC-Y-Litchfield Park, AZ-Life Insurance-Managing Partner-07/2019-20-1-Life Insurance Sales.
CRS (Client Relationship Summary) - RIA
Click below to view Brian L Penney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian L Penney's 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®
NoneExperience
Current
August 21, 2025 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Litchfield Park, AZ
Current
November 13, 2023 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Litchfield Park, AZ
Past
December 6, 2019 - November 13, 2023
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
Litchfield Park, AZ
Past
September 27, 2019 - December 23, 2019
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Germantown Hills, IL
Past
May 20, 2019 - October 10, 2019
IFS SECURITIES
BD
CRD#: 40375
ATLANTA, GA
Past
February 1, 2017 - May 17, 2019
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
GERMANTOWN HILLS, IL
Past
October 21, 2015 - February 6, 2017
CETERA ADVISORS LLC
BD
CRD#: 10299
GERMANTOWN HILLS, IL
Past
November 24, 2008 - November 5, 2015
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GERMANTOWN HILLS, IL
Past
May 5, 2006 - September 2, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
BD
CRD#: 103919
LIBERTYVILLE, IL
Past
October 27, 2004 - April 24, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
WOODSTOCK, IL
Past
October 7, 2003 - September 29, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
February 16, 2001 - October 8, 2001
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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(11/13/2023)
IAR
Arizona(8/21/2025)
RR
Illinois(11/13/2023)
RR
North Carolina(2/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
