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GM

Gerald A. Moneypenny

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CRD#: 4544770
GM

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.

Gerald Alan Moneypenny, who also goes by Gerry Moneypenny, was a registered financial professional .

Gerald is a previously registered financial professional and started their career in finance in 2002. Gerald had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gerry Moneypenny

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)START DATE 3/2016 I DEVOTE 0 HRS/MO AS INDEPENDENT CONTRACTOR FOR MONEYPENNY WEALTH MANAGEMENT. THIS IN AN INVESTMENT RELATED ACTIVITY AND THIS DBA IS USED FOR MY SECURITIES BUSINESS PRIMARILY FOR MARKETING. BUSINESS ADDRESS SAME AS RESIDENTIAL. (2) START DATE 6/2004 I DEVOTE 10-15 HRS/MO (ALL DURING TRADING) AS INDEPENDENT CONTRACTOR FOR INSURANCE. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES ARE TO RUN ILLUSTRATIONS FOR CLIENTS CONSIDERATION OF EIA AND LTC PRODUCTS. BUSINESS ADDRESS FOR BOTH OF ABOVE IS THE SAME AS THE BRANCH ADDRESS.

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

February 26, 2018 - December 31, 2023

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
CAMPBELL, CA
Past

February 26, 2018 - December 31, 2023

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
CAMPBELL, CA
Past

April 25, 2017 - February 26, 2018

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PALO ALTO, CA
Past

December 8, 2016 - February 26, 2018

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PALO ALTO, CA
Past

March 26, 2014 - March 23, 2017

MONEYPENNY WEALTH MANAGEMENT

RIA
CRD#: 169253
PALO ALTO, CA
Past

November 2, 2007 - December 13, 2016

FOOTHILL SECURITIES, INC.

RIA
CRD#: 1027
Palo Alto, CA
Past

November 2, 2007 - December 8, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
Palo Alto, CA
Past

August 26, 2004 - November 6, 2007

OSAIC FA, INC.

RIA
CRD#: 3978
SAN RAMON, CA
Past

August 26, 2004 - April 6, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

August 26, 2004 - November 6, 2007

OSAIC FA, INC.

BD
CRD#: 3978
SAN RAMON, CA
Past

June 14, 2002 - August 23, 2004

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA

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
RR
IAR
Series 66
Date: 11/8/2002
Uniform Combined 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: 6/13/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/9/2009
General Securities Principal Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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