Penny M. Thornton
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 Marie Thornton, who also goes by Penny Marie Lefave, Penny M Rochelo, Penny M Thornton, was a registered financial professional .
Penny is a previously registered financial professional and started their career in finance in 2001. Penny had worked at 4 firms and has passed the SIE, 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
February 2, 2012 - October 29, 2014
CERTUSSECURITIES, INC.
October 31, 2005 - February 25, 2010
FIRST LEGACY SECURITIES, LLC
October 23, 2001 - November 10, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 23, 2001 - November 10, 2003
MSI FINANCIAL SERVICES, 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
CERTUSSECURITIES, INC.
CRD#: 144051 / SEC#: , 8-67627
Contact information
Documents
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.
