Penelope M. Duncan
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 May Duncan, who also goes by Penelope May Cross, Penny Cross, Penelope M Duncan, Penny Duncan, was a registered financial professional .
Penelope is a previously registered financial professional and started their career in finance in 2006. Penelope had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - May 15, 2013
MERIDIAN WEALTH MANAGEMENT LLC
July 2, 2008 - May 21, 2013
LPL FINANCIAL LLC
July 2, 2008 - May 21, 2013
LPL FINANCIAL LLC
June 2, 2006 - October 20, 2006
WELLS FARGO INVESTMENTS, LLC
May 3, 2006 - October 20, 2006
WELLS FARGO INVESTMENTS, LLC
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
MERIDIAN WEALTH MANAGEMENT LLC
CRD#: 161144 / SEC#: 801-76586
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 810 |
| AUM (Assets Under Management) | $ 514,458,526 |
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.
