GP
Guy M. Penn
CORE PLANNING
OFALLON, MO
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CRD#: 5267938
GP
Professional summary
Guy Michael Penn, who also goes by Guy Michael Penn Jr, is a registered financial advisor currently at CORE PLANNING located in Ofallon, Missouri.
Guy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Guy has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Guy Michael Penn Jr
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.
IN ADDITION TO DUTIES PERFORMED FOR ST LOUIS PRIVATE ADVISORS (STLPA), GUY PENN IS A MANAGING MEMBER WITH RUSH PENN LLC (RP) WHICH PROVIDES SINGLE FAMILY OFFICE ADMINISTRATION AND GOVERNANCE SERVICES (NON-INVESTMENT RELATED) AND MAY SPEND UP TO 10% OF HIS TIME PERFORMING DUTIES FOR (RP). THIS ARRANGEMENT RESULTS IN NO APPARENT CONFLICTS OF INTEREST FOR (STLPA),(RP), OR ANY CLIENTS EITHER MAY SERVE.
CRS (Client Relationship Summary) - RIA
Click below to view Guy Michael Penn'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
September 2, 2010 - Present
CORE PLANNING
RIA
CRD#: 154660
OFALLON, MO
Past
April 30, 2015 - December 31, 2018
RUSH PENN, LLC.
RIA
CRD#: 175093
ST.LOUS, MO
Past
August 13, 2008 - June 10, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHESTERFIELD, MO
Past
January 31, 2007 - March 20, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHESTERFIELD, MO
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".
CORE PLANNING
AD ASTRA | ST. LOUIS PRIVATE ADVISORS | SAVOR FINANCIAL | PINK THREAD | PENN GUY M. JR | H3FP | G. M. PENN WEALTH MANAGEMENT | COREALIGN | CORE PLANNING, LLC | CORE PLANNING | CORE
CRD#: 154660 / SEC#: 801-131950
RIA
Registered Investment Advisory firm - (2/13/2025 Approved)California
Registered Investment Advisory firm - (5/9/2025 Terminated)Illinois
Registered Investment Advisory firm - (4/9/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2025 Terminated)Oregon
Registered Investment Advisory firm - (4/9/2025 Terminated)Texas
Registered Investment Advisory firm - (4/9/2025 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.Highlighted states indicate IAR registrations
IAR
California(4/20/2023)
IAR
Illinois(3/29/2023)
IAR
Missouri(9/2/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
CORE PLANNING
AD ASTRA | ST. LOUIS PRIVATE ADVISORS | SAVOR FINANCIAL | PINK THREAD | PENN GUY M. JR | H3FP | G. M. PENN WEALTH MANAGEMENT | COREALIGN | CORE PLANNING, LLC | CORE PLANNING | CORE
CRD#: 154660 / SEC#: 801-131950
RIA
Registered Investment Advisory firm - (2/13/2025 Approved)California
Registered Investment Advisory firm - (5/9/2025 Terminated)Illinois
Registered Investment Advisory firm - (4/9/2025 Terminated)Missouri
Registered Investment Advisory firm - (4/9/2025 Terminated)Oregon
Registered Investment Advisory firm - (4/9/2025 Terminated)Texas
Registered Investment Advisory firm - (4/9/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
706 N Main St, Ofallon, MO 63366
Mailing Address
Phone number
(636) 734-7507
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (29 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 884 |
| AUM (Assets Under Management) | $ 121,451,500 |
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.
