Jonathan L. Penn

RIA ADVISORS

Houston, TX

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CRD#: 3278678

Professional summary

Jonathan Lee Penn, CFP®, who also goes by Jonathan L Penn, is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jonathan has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan L 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.

Jonathan Penn is a financial Advisor with RIA Advisors which is a wealth management company. His responsibilities include providing financial advice. 125 hours a month are spent on this activity during trading hours. 30 hours a month are spent on this activity outside of trading hours. 80% of his yearly income is derived from this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Lee Penn'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®

CFP^®

CRD#: 5393

HOUSTON, TX

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".

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(9/25/2020)

IAR

Nebraska
(9/28/2020)

IAR

Texas
(9/25/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/24/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Current Firm

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

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Contact information

Main Address

11750 Katy Freeway Suite 840, Houston, TX 77079

Mailing Address

Phone number

(281) 501-1791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - CLARITY FINANCIAL, LLC (5/5/2025)

Regulatory assets under management

Total Number of Accounts	3,581
AUM (Assets Under Management)	$ 1,530,453,633

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.

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Firm Stability Insights

Jonathan L. Penn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Lee Penn's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIA WEALTH ADVISORS, LLC

PIN OAK INVESTMENT ADVISORS INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

RIA ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2017

Series 63

Date: 2/24/2000

Series 7

Date: 12/21/1999

Current Firm

RIA ADVISORS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORS

TRUST BUT VERIFY

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