Linda K. Penfold
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.
Linda Kaye Penfold, who also goes by Linda Kaye Anders Miss, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 2005. Linda had worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2019 - May 1, 2024
TRANSFORM WEALTH, LLC
August 25, 2011 - April 11, 2019
WEATHERSTONE CAPITAL MANAGEMENT
February 16, 2005 - August 31, 2009
CENTAURUS FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSFORM WEALTH, LLC
CRD#: 283403 / SEC#: 801-107796
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,810 |
| AUM (Assets Under Management) | $ 3,377,136,557 |
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.
