Penelope R. Lowther
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.
Penelope Renee Lowther, who also goes by Pennie Renee Bassett, was a registered financial professional .
Penelope is a previously registered financial professional and started their career in finance in 2004. Penelope had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2017 - May 25, 2017
USCA SECURITIES LLC
May 16, 2013 - November 10, 2016
KESTRA INVESTMENT SERVICES, LLC
February 24, 2012 - May 15, 2013
CUNA BROKERAGE SERVICES, INC.
June 1, 2010 - January 17, 2012
CUNA BROKERAGE SERVICES, INC.
June 13, 2008 - May 29, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2006 - June 18, 2008
LPL FINANCIAL LLC
April 6, 2005 - June 13, 2006
CHASE INVESTMENT SERVICES CORP.
September 9, 2004 - March 21, 2005
CUNA BROKERAGE 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
USCA SECURITIES LLC
CRD#: 103789 / SEC#: , 8-52285
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. CAPITAL WEALTH, LLC | OWNER | |
| BOWLING, ELIZABETH COURTNEY | HEAD OF LEGAL AND COMPLIANCE | 6335464 |
| DEJONCKHEERE, KASEY LIZANN | CFO, U.S. CAPITAL ADVISORS LLC | 3071831 |
| HODGES, ELIZABETH | CHIEF COMPLIANCE OFFICER | 5418587 |
| KING, DAVID MICHAEL | MANAGING PARTNER | 2446459 |
| MARTINEZ, MARGARITA YVETTE | PFO/CONTROLLER | 4724529 |
| MENDENHALL, PATRICK MICHAEL | MANAGING PARTNER/HEAD OF WEALTH MANAGEMENT | 1068809 |
| SURPRENANT, THERESE | LEGAL & REGULATORY COUNSEL |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
