JP
Joann P. Penovi
CARTER, TERRY & COMPANY
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 3270104
JP
Professional summary
Joann Parker Penovi, CFP®, who also goes by Joann Parker, is a registered financial advisor currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
Joann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joann has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joann Parker
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.
INTERIM CHURCH CHOIR DIRECTOR, 2 HRS/WEEK, $50/HR, 1/12 TEMPORARY POSITION, COLLINS MEMORIAL UNITED METHODIST CHURCH, NON INVESTMENT RELATED, NON BUSINESS HRS
CRS (Client Relationship Summary) - RIA
Click below to view Joann Parker Penovi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joann Parker Penovi'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®
CFP®
Start date: 2007
Experience
Current
June 4, 2009 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Rd Nw Suite 1200, Atlanta, GA 30305Office #2: 3060 Peachtree Rd Nw Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Current
June 1, 2009 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Rd Nw Suite 1200, Atlanta, GA 30305Office #2: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
September 17, 2007 - June 2, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
ATLANTA, GA
Past
September 14, 2007 - June 2, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
ATLANTA, GA
Past
April 2, 2007 - September 18, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ATLANTA, GA
Past
April 2, 2007 - September 18, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ATLANTA, GA
Past
June 16, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ATLANTA, GA
Past
April 30, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ATLANTA, GA
Past
May 30, 2002 - May 5, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
July 7, 2000 - May 5, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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(6/1/2009)
IAR
Alabama(4/30/2018)
RR
Colorado(10/29/2013)
RR
Georgia(6/1/2009)
IAR
Georgia(6/4/2009)
RR
Michigan(1/31/2011)
RR
New York(7/6/2023)
RR
South Carolina(12/15/2014)
IAR
South Carolina(4/30/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
