Seth M. Penland
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.
Seth Micah Penland was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1999. Seth had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2015 - November 9, 2016
B. RILEY & CO., LLC
August 18, 2010 - July 22, 2015
J.P. MORGAN SECURITIES LLC
October 20, 2008 - May 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1999 - March 22, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 12, 1999 - July 12, 1999
BA INVESTMENT SERVICES, 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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