RP
Robert B. Penn
PRINCIPAL SECURITIES
LYNCHBURG, VA
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CRD#: 3225731
RP
Professional summary
Robert Benton Penn, who also goes by Benton Penn, R Benton Penn, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lynchburg, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Robert has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 51, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benton Penn | R Benton Penn
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.
INSURANCE / Harvest Wealth Advisors (DBA) POSITION: President NATURE: Fee-based Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2018 ADDRESS: 193 Emberly Way, Lynchburg VA 24502, United States DESCRIPTION: I am the president and sole owner of Harvest Wealth Advisors, LLC I provide the following services to clients and prospects: 1. Fee Based Financial Planning 2. Investment Advisory through Principal Securities 3. Insurance and Annuities through Principal and the PPN 4. Individual sales and service of Fixed products through Penn Mutual Life Insurance 5. Educational Workshops where no fee is charged
CRS (Client Relationship Summary) - RIA
Click below to view Robert Benton Penn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Benton Penn'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
March 6, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243RIA
BD
CRD#: 1137
LYNCHBURG, VA
Current
March 6, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243RIA
BD
CRD#: 1137
LYNCHBURG, VA
Past
June 14, 2024 - March 11, 2025
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROANOKE, VA
Past
June 14, 2024 - March 11, 2025
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROANOKE, VA
Past
January 27, 2023 - June 17, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HUNTSVILLE, AL
Past
January 20, 2023 - June 17, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HUNTSVILLE, AL
Past
September 18, 2019 - January 13, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HUNTSVILLE, AL
Past
September 11, 2019 - January 13, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HUNTSVILLE, AL
Past
July 3, 2019 - August 30, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Charlottesville, VA
Past
January 5, 2015 - August 30, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Charlottesville, VA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Alabama(3/6/2025)
RR
Colorado(3/7/2025)
RR
Connecticut(3/6/2025)
RR
Florida(3/6/2025)
RR
Georgia(3/6/2025)
RR
Kentucky(9/25/2025)
RR
Louisiana(3/6/2025)
RR
Michigan(9/29/2025)
RR
Mississippi(3/6/2025)
RR
Nevada(3/6/2025)
RR
South Carolina(7/16/2025)
RR
Tennessee(7/10/2025)
RR
Texas(3/7/2025)
IAR
Texas(3/10/2025)
RR
Virginia(3/6/2025)
IAR
Virginia(3/6/2025)
RR
Washington(3/6/2025)
RR
West Virginia(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/6/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
