TP
Todd A. Penrod
HBW ADVISORY SERVICES LLC
Simi Valley, CA 93065
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CRD#: 4242221
TP
Professional summary
Todd Arthur Penrod is a registered financial advisor currently at HBW ADVISORY SERVICES LLC located in Simi Valley, California.
Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Todd has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.NAME OF OTHER BUSINESS: HBW ADVISORY SERVICES, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: HBW ADVISORY SERVICES LLC PRIMARILY SERVICES THE FINANCIAL PLANNING AND INVESTMENT MANAGEMENT NEEDS OF INDIVIDUALS AND SMALL BUSINESSES
POSITION/TITLE/RELATIONSHIP: COMPLIANCE OFFICER
START DATE: 06/2017
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: COMPLIANCE OFFICER
2. NAME OF OTHER BUSINESS: HBW PARTNERS
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 06/2015
POSITION/TITLE/RELATIONSHIP: COMPLIANCE OFFICER
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF HOURS DURING TRADING HOURS: 10
BRIEF DESCRIPTION OF DUTIES: CHIEF COMPLIANCE OFFICER FOR RIA
CRS (Client Relationship Summary) - RIA
Click below to view Todd Arthur Penrod'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
September 9, 2015 - Present
HBW ADVISORY SERVICES LLC
Office #1: 2655 1st Street Suite 250, Simi Valley, CA 93065RIA
CRD#: 143665
Simi Valley, CA
Past
June 26, 2017 - July 29, 2021
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SIMI VALLEY, CA
Past
June 26, 2017 - July 29, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SIMI VALLEY, CA
Past
June 15, 2015 - August 1, 2017
HBW SECURITIES LLC
BD
CRD#: 136959
SIMI VALLEY, CA
Past
May 25, 2011 - June 1, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
AGOURA HILLS, CA
Past
August 5, 2008 - May 13, 2011
WEDBUSH SECURITIES INC.
BD
CRD#: 877
LOS ANGELES, CA
Past
January 31, 2008 - March 3, 2008
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, CA
Past
November 5, 2003 - May 8, 2007
WAMU INVESTMENTS, INC.
BD
CRD#: 599
FULLERTON, CA
Past
October 6, 2000 - July 29, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
August 2, 2000 - September 19, 2000
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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".
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)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
California(9/9/2015)
IAR
Pennsylvania(5/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
HA
HBW ADVISORY SERVICES LLC
HBW ADVISORY SERVICES LLC
CRD#: 143665 / SEC#: 801-77333
RIA
Registered Investment Advisory firm - (11/7/2012 Approved)Alabama
Registered Investment Advisory firm - (12/13/2012 Terminated)Arizona
Registered Investment Advisory firm - (12/13/2012 Terminated)California
Registered Investment Advisory firm - (1/12/2013 Terminated)Colorado
Registered Investment Advisory firm - (12/13/2012 Terminated)Connecticut
Registered Investment Advisory firm - (1/15/2013 Terminated)Florida
Registered Investment Advisory firm - (12/13/2012 Terminated)Georgia
Registered Investment Advisory firm - (12/13/2012 Terminated)Illinois
Registered Investment Advisory firm - (11/7/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/13/2012 Terminated)Iowa
Registered Investment Advisory firm - (12/13/2012 Terminated)Kansas
Registered Investment Advisory firm - (12/13/2012 Terminated)Kentucky
Registered Investment Advisory firm - (12/13/2012 Terminated)Missouri
Registered Investment Advisory firm - (12/13/2012 Terminated)Nevada
Registered Investment Advisory firm - (1/13/2013 Terminated)New Jersey
Registered Investment Advisory firm - (12/18/2012 Terminated)New Mexico
Registered Investment Advisory firm - (12/13/2012 Terminated)New York
Registered Investment Advisory firm - (12/13/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/13/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/13/2012 Terminated)Oklahoma
Registered Investment Advisory firm - (12/13/2012 Terminated)Oregon
Registered Investment Advisory firm - (12/19/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (12/13/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/13/2012 Terminated)Washington
Registered Investment Advisory firm - (12/13/2012 Terminated)Wisconsin
Registered Investment Advisory firm - (12/13/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2655 1st Street Suite 250, Simi Valley, CA 93065
Mailing Address
P.o. Box 2049, Simi Valley, CA 93062
Phone number
(800) 473-3856
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,679 |
| AUM (Assets Under Management) | $ 1,747,369,322 |
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.
