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SP

Shirl T. Penney

Some features on this profile are disabled
CRD#: 3073680
SP

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.

Shirl Thomas Penney was a registered financial professional .

Shirl is a previously registered financial professional and started their career in finance in 2001. Shirl had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 3, 2017 - January 4, 2021

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
Saint Petersburg, FL
Past

August 13, 2010 - May 27, 2015

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
NEW YORK, NY
Past

February 1, 2001 - July 14, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2001
General Securities Representative Examination

Current Firm

DS
DYNASTY SECURITIES, LLC
DYNASTY SECURITIES, LLC | PPS SECURITIES, LLC

CRD#: 159076 / SEC#: , 8-68962

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

Main Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Mailing Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Phone number
(212) 373-1019
Established
New York since 08/15/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DYNASTY FINANCIAL PARTNERS, LLCSHAREHOLDER
BUTTE, ANDREW THOMASCCO2094794
HOPKINS, THOMAS JOHNFINOP1835087
SALIT, MASON CARYCEO5105375

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

DYNASTY SECURITIES, LLC

CRD#: 159076

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