Chase C. Penman
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.
Chase Colby Penman, who also goes by Chase Penman, was a registered financial professional .
Chase is a previously registered financial professional and started their career in finance in 2011. Chase had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
April 6, 2020 - August 18, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 24, 2020 - August 18, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 11, 2014 - August 29, 2018
HARRISDIRECT LLC
February 11, 2014 - August 29, 2018
E*TRADE SECURITIES LLC
January 11, 2013 - October 17, 2013
TD AMERITRADE, INC.
January 11, 2013 - October 17, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 5, 2012 - October 17, 2013
TD AMERITRADE, INC.
June 2, 2011 - October 24, 2011
WADDELL & REED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
