Vincent J. Penrose
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.
Vincent Joseph Penrose was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 2009. Vincent had worked at 3 firms and has passed the Series 65, Series 63 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
November 1, 2010 - January 29, 2014
AST INVESTMENT SERVICES, INC.
November 1, 2010 - January 29, 2014
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 1, 2009 - June 21, 2010
VOYA FINANCIAL ADVISORS, INC.
July 13, 2009 - June 21, 2010
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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