JP
Jina A. Penn-tracy
VANDERBILT ADVISORY SERVICES
Minneapolis, MN 55410
Some features on this profile are disabled
CRD#: 4839760
JP
Professional summary
Jina Amelia Rachel Penn-tracy, who also goes by Jina Amelia Lucas, Jina Amelia Rachel Penn, is a registered financial advisor currently at VANDERBILT ADVISORY SERVICES located in Minneapolis, Minnesota and VANDERBILT SECURITIES, LLC located in Minneapolis, Minnesota.
Jina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jina has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jina Amelia Lucas | Jina Amelia Rachel Penn
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 ) Center-Wealth Fixed Insurance - Life, LTC & Disability. Non-investment related. Start Date: 7/1/17. Address: 4353 Uptown Ave S suite 103, Minneapolis MN 55410. Title: Agent/Owner. Duties: Sales of Life LTC and Disability Insurance related to financial planning. 5% of time spent of this activity during business hours. 2) Renew Power Systems Inc (DBA RPSi) located at 4353 Upton Ave S#103, Minneapolis, MN and 4211 Vincent Ave S, Minneapolis, MN. Start Date: 04/13/2022, Position: Business Strategy Advisor and Co-Owner. Nature: Electrical Grid Integration Technology. Approximately less than 2% of time spent of this activity during business hours. Duties: Meet with Board of Directors periodically to review overall strategy. Answer questions at conference and networking events. Review marketing materials. Advise on Sustainability Reporting. 3) RPSi (dba SYNCRIS). Non-investment related. Start Date: 07/01/2024. Address: 4353 Uptown Ave S suite 103, Minneapolis MN 55410. Title: Board Member. Duties: Oversight of company management. Voting on approval of corporate actions.. 10% of time spent of this activity during business hours. 4) Fresh Energy. Non-investment related. Start Date: 07/16/2024. Address: 4211 Vincent Ave. S. Minneapolis MN, 55410. Title: Board Member. Duties: Quarterly meetings, document review, committee activities, oversight, voting board approval. 0% of time spent of this activity during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jina Amelia Rachel Penn-tracy'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
July 6, 2017 - Present
VANDERBILT ADVISORY SERVICES
Office #1: 4353 Upton Ave. So., Suite 103, Minneapolis, MN 55410RIA
CRD#: 116537
Minneapolis, MN
Current
July 6, 2017 - Present
VANDERBILT SECURITIES, LLC
Office #1: 4353 Upton Avenue South Suite 103, Minneapolis, MN 55410BD
CRD#: 5953
Minneapolis, MN
Past
July 22, 2010 - July 6, 2017
FINANCIAL WEST GROUP
RIA
CRD#: 16668
MINNEAPOLIS, MN
Past
July 9, 2010 - July 6, 2017
FINANCIAL WEST GROUP
BD
CRD#: 16668
MINNEAPOLIS, MN
Past
November 12, 2007 - July 27, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MINNEAPOLIS, MN
Past
October 11, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 11, 2004 - November 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EDINA, MN
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".
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/18/2022)
RR
California(7/6/2017)
RR
Colorado(1/2/2018)
RR
Florida(12/18/2020)
RR
Georgia(1/10/2022)
RR
Hawaii(5/12/2025)
RR
Iowa(7/6/2017)
RR
Massachusetts(12/22/2021)
IAR
Minnesota(7/10/2017)
RR
Minnesota(1/18/2018)
RR
New York(1/9/2019)
RR
North Carolina(1/11/2022)
RR
Oregon(7/22/2021)
RR
Pennsylvania(1/2/2020)
RR
South Carolina(1/7/2020)
IAR
Texas(1/10/2022)
RR
Washington(2/4/2022)
RR
Wisconsin(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VANDERBILT ADVISORY SERVICES
4KAST ADVISORS LLC | WORDEN WEALTH MANAGEMENT | WILLIAMS CAPITAL CORPORATION | WEALTH MARK ADVISORY SERVICES | WEALTH MANAGEMENT STRATEGIES | WCM FINANCIAL MANAGEMENT | WARD FINANCIAL | WALSH FINANCIAL SOLUTIONS | VANDERBILT FINANCIAL GROUP WESTPORT | VANDERBILT ADVISORY SERVICES | THE RETIREMENT OPTIMIZATION GROUP | TAVERNIER WEALTH MANAGEMENT | TASK FORCE INVESTMENTS | STERLING CAPITOL LLC | SQUAW ISLAND LLC. | SKYE HARBOR FINANCIAL | SENTIGENT FINANCIAL SOLUTIONS, LLC | SENIOR WEALTH MANAGEMENT, INC. | RAINBOW INVESTMENT SOLUTIONS | QUALITY FINANCIAL CONCEPTS | PREMAC WEALTH MANAGEMENT | PREFERRED FINANCIAL GROUP | PFG INVESTMENTS, LLC | MOREAU FINANCIAL PLANNING | MMS ASSET MANAGEMENT | MASTERPIECE FINANCIAL GROUP | LUNARIA FINANCIAL | KT WEALTH MANAGEMENT | KING PLAN ADVISORY GROUP | KEYSTONE FINANCIAL EDGE INC | JACK CHITE & ASSOCIATES | J. BROWER & ASSOCIATES | INFINITE INVESTMENT STRATEGIES LLC | ILN SECURITIES LLC | HIRSCH ASSOCIATES | HARBORWISE FINANCIAL | HANSEN'S ADVISORY SERVICES | GRYPHON ASSET MANAGEMENT | GREENVEST | GARDINER PRIVATE WEALTH MANAGEMENT | FORTRESS WEALTH SOLUTIONS, LLC | FAVA WEALTH MANAGEMENT | EVANS GROUP FINANCIAL ADVISORS | ENDEAVOR FINANCIAL GROUP | EMPOWERED INVESTMENTS | CURBELO WEALTH MANAGEMENT GROUP LLC | CORNELIUS ASSET MANAGEMENT | CORE VALUE INVESTMENT GROUP | COMMON INTERESTS | CJW FINANCIAL SERVICES | CHASE KELLY | CHAMBERLAIN GROUP | CENTERED WEALTH | BRIN FINANCIAL | BAKER WEALTH MANAGEMENT | ARK FINANCIAL | AMERICAN CENTURION FINANCIAL | ALPHA WAVE ADVISORS | AFTON CAPITAL MANAGEMENT | ABUNDANCE WEALTH SOLUTIONS
CRD#: 116537 / SEC#: 801-77166
RIA
Registered Investment Advisory firm - (10/23/2012 Approved)California
Registered Investment Advisory firm - (11/5/2012 Terminated)Connecticut
Registered Investment Advisory firm - (11/27/2012 Terminated)Florida
Registered Investment Advisory firm - (10/31/2012 Terminated)Georgia
Registered Investment Advisory firm - (11/2/2012 Terminated)Indiana
Registered Investment Advisory firm - (10/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (11/15/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (10/31/2012 Terminated)Minnesota
Registered Investment Advisory firm - (10/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (11/28/2012 Terminated)New York
Registered Investment Advisory firm - (10/31/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/1/2012 Terminated)South Carolina
Registered Investment Advisory firm - (10/31/2012 Terminated)Texas
Registered Investment Advisory firm - (10/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (10/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
Phone number
(631) 845-5100
Established
Firm type
Fiscal year end
# of Employees
161
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,470 |
| AUM (Assets Under Management) | $ 2,111,673,883 |
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.
