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PY

Penny Jean Young

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CRD#: 4195932
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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.

Penny Jean Young, who also goes by Penny J Heafey, Penny Jean Heafey, Penny J Wilson, Penny Jean Wilson, Penny J Young, was a registered financial professional .

Penny Jean is a previously registered financial professional and started their career in finance in 2001. Penny Jean had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Penny J Heafey | Penny Jean Heafey | Penny J Wilson | Penny Jean Wilson | Penny J Young

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 broker as an individual; Non-investment related; 150 Fairview Rd, Ste 130, Mooresville, NC; since started 6/2024; 2 hours per month during business hours; Sell fixed annuities and medicare insurance.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2025 - October 7, 2025

OAKWOOD CAPITAL SECURITIES, INC.

BD
CRD#: 21000
Mooresville, NC
Past

September 3, 2025 - October 6, 2025

ALPHASTAR CAPITAL MANAGEMENT

RIA
CRD#: 157423
Mooresville, NC
Past

February 10, 2025 - August 26, 2025

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
WARWICK, RI
Past

June 27, 2024 - August 26, 2025

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
WARWICK, RI
Past

November 9, 2012 - June 26, 2024

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MEDWAY, MA
Past

February 28, 2012 - May 1, 2012

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA
Past

November 12, 2009 - September 14, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WALTHAM, MA
Past

April 2, 2007 - October 6, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HOPKINTON, MA
Past

June 21, 2005 - August 4, 2006

EDWARD JONES

BD
CRD#: 250
NATICK, MA
Past

January 29, 2001 - September 1, 2004

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/11/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/11/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/26/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/28/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

OC
OAKWOOD CAPITAL SECURITIES, INC.
GARDNER FINANCIAL SERVICES, INC. | OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000 / SEC#: , 8-38631

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

Main Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Mailing Address
600 Highway 169 South Suite 1410, St. Louis Park, MN 55426
Phone number
(952) 935-4601
Established
Minnesota since 05/11/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 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#
OAKWOOD CAPITAL SECURITIES, LLCOWNER
BASKETT, ERINFINOP, PFO, POO4538604
KING, BRANDON DOUGLASVICE PRESIDENT6371003
KING, DOUGLAS STEPHANPRESIDENT, CHIEF COMPLIANCE OFFICER1375683
KING, JASON THOMASVICE PRESIDENT6343030

Disclosures

Regulatory Event1
Bond1

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

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

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