SP
Sheila L. Penley
CARY STREET PARTNERS
ABINGDON, VA 24210
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CRD#: 5308944
SP
Professional summary
Sheila L Penley is a registered financial advisor currently at CARY STREET PARTNERS located in Abingdon, Virginia and CARY STREET PARTNERS located in Johnson City, Tennessee.
Sheila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sheila has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sheila L Penley'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 31, 2009 - Present
CARY STREET PARTNERS
Office #1: 143 West Main St., Abingdon, VA 24210RIA
CRD#: 128545
ABINGDON, VA
Current
July 31, 2009 - Present
CARY STREET PARTNERS
Office #1: 2335 Knob Creek Road Suite 105, Johnson City, TN 37604Office #2: 2502 N. Rocky Point Drive Suite 180, Tampa, FL 33607Office #3: 143 West Main Street, Abingdon, VA 24210Office #4: 185 W. Main Street, Wytheville, VA 24382BD
CRD#: 128089
Johnson City, TN
Past
August 27, 2008 - August 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ABINGDON, VA
Past
January 16, 2008 - August 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ABINGDON, VA
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 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
Alabama(12/4/2023)
RR
Arizona(12/4/2023)
RR
Arkansas(12/4/2023)
RR
California(12/4/2023)
RR
Colorado(12/4/2023)
RR
District of Columbia(12/4/2023)
RR
Florida(12/4/2023)
RR
Georgia(12/4/2023)
RR
Hawaii(12/4/2023)
RR
Illinois(12/4/2023)
RR
Kansas(12/4/2023)
RR
Kentucky(12/4/2023)
RR
Louisiana(12/4/2023)
RR
Maryland(12/4/2023)
RR
Massachusetts(12/4/2023)
RR
Michigan(12/4/2023)
RR
Mississippi(12/4/2023)
RR
Missouri(12/4/2023)
RR
New Hampshire(12/4/2023)
RR
New Mexico(12/4/2023)
RR
New York(12/4/2023)
RR
North Carolina(7/31/2009)
IAR
North Carolina(1/8/2019)
RR
Ohio(12/5/2023)
RR
Pennsylvania(12/4/2023)
RR
South Carolina(12/4/2023)
RR
Tennessee(7/31/2009)
RR
Texas(7/31/2009)
IAR
Texas(1/7/2019)
RR
Virginia(7/31/2009)
IAR
Virginia(7/31/2009)
RR
Washington(12/4/2023)
RR
West Virginia(12/4/2023)
RR
Wisconsin(12/4/2023)
RR
Wyoming(12/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CARY STREET PARTNERS
CRD#: 128545Abingdon, VA 24210TRUST BUT VERIFY
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