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AP

Aaron M. Penrod

PENROD FINANCIAL GROUP
Branson, MO 65616
Some features on this profile are disabled
CRD#: 3194251
AP

Professional summary

Aaron Matthew Penrod is a registered financial professional currently at PENROD FINANCIAL GROUP located in Branson, Missouri.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2000. Aaron has worked at 1 firm and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6 and Series 53 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) - BD

Click below to view Aaron Matthew Penrod'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

January 17, 2000 - Present

PENROD FINANCIAL GROUP

Office #1: 574 State Highway 248, Branson, MO 65616Office #2: 574 State Highway 248 Suite 5, Branson, MO 65616
BD
CRD#: 22785
Branson, MO

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
Alaska
(7/3/2008)
RR
Arizona
(5/5/2023)
RR
Arkansas
(7/3/2008)
RR
Colorado
(5/11/2023)
RR
Florida
(5/16/2022)
RR
Idaho
(1/13/2025)
RR
Illinois
(5/16/2022)
RR
Iowa
(7/25/2022)
RR
Kansas
(4/17/2023)
RR
Kentucky
(6/20/2023)
RR
Missouri
(1/18/2000)
RR
Ohio
(5/10/2012)
RR
Oklahoma
(2/24/2018)
RR
Texas
(2/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/13/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/8/2011
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PENROD FINANCIAL GROUP
PENROD & COMPANY | PENROD FINANCIAL SERVICES, INC. | PENROD FINANCIAL GROUP | PENROD AND COMPANY

CRD#: 22785 / SEC#: , 8-40088

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

Main Address
574 State Highway 248 Suite 5, Branson, MO 65616
Mailing Address
P.o. Box 220, Branson, MO 65615
Phone number
(417) 334-3455
Established
Missouri since 06/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PENROD, DONALD RAYREGISTERED PRINCIPAL, TREASURER833918
AMSBERRY, RICHARD FRANCISFINOP2917504
PENROD, AARON MATTHEWVP/MUNI COMPLIANCE PRINCIPAL3194251
PENROD, BECKY LOUPRESIDENT, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER, AML PRINCIPAL1088598
PENROD, BECKY LOUCO-OWNER, SECRETARY1088598

Disclosures

Regulatory Event3

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

PENROD FINANCIAL GROUP

CRD#: 22785Branson, MO 65616

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