Jamie R. Pennington
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.
Jamie Ryan Pennington, who also goes by Jamie Elizabeth Ryan, was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 1998. Jamie had worked at 8 firms and has passed the Series 63, 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
December 18, 2012 - March 13, 2013
B. RILEY & CO., LLC
June 15, 2010 - December 14, 2012
CARIS & COMPANY, INC.
February 12, 2009 - June 17, 2010
STERNE, AGEE & LEACH, INC.
June 4, 2008 - February 17, 2009
H.C.WAINWRIGHT & CO., LLC
September 4, 2003 - January 26, 2007
CAPITAL ONE SECURITIES, INC.
September 23, 2002 - July 24, 2003
LEGG MASON WOOD WALKER, INCORPORATED
May 15, 2000 - July 26, 2002
FROST SECURITIES, INC.
September 23, 1998 - April 28, 2000
WACHOVIA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
