Raymond Penzi
Professional summary
Raymond Penzi, who also goes by Raymond Leo Penzi, Penzi Raymond, is a registered financial advisor currently at THE L. WARNER COMPANIES, INC located in Huntington, New York and M HOLDINGS SECURITIES, INC. located in Timonium, Maryland.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Raymond has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Penzi's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 26, 2024 - Present
THE L. WARNER COMPANIES, INC
March 15, 2013 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 9690 Deereco Road Suite 650, Timonium, MD 21093December 16, 2010 - July 27, 2011
SIDOTI & COMPANY, LLC
September 3, 2010 - November 8, 2010
JOHN THOMAS FINANCIAL
Primary Firm SEC Registration
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/16/2025)
(11/6/2018)
(3/15/2013)
(11/26/2024)
Exams
FINRA
Current Firm
THE L. WARNER COMPANIES, INC
CRD#: 108001 / SEC#: 801-56965
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 385 |
| AUM (Assets Under Management) | $ 744,609,071 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/18/2025 | ||
| 07/10/2024 | ||
| 10/16/2023 |
Red Flags
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