Charles L. Penner

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 6054336

Professional summary

Charles Larsen Penner, who also goes by Charlie Larsen Penner, is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2015. Charles has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Larsen Penner

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Larsen Penner'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®

None

Experience

Current

August 6, 2024 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

July 25, 2022 - August 2, 2024

IKONA PARTNERS

CRD#: 318986

San Francisco, CA

Past

January 27, 2022 - July 29, 2022

FLYING CLOUD SECURITIES LLC

CRD#: 167621

SAN FRANCISCO, CA

Past

July 6, 2020 - January 28, 2022

VISTA POINT ADVISORS, LLC

CRD#: 157502

SAN FRANCISCO, CA

Past

July 30, 2016 - July 24, 2019

VISTA POINT ADVISORS, LLC

CRD#: 157502

SAN FRANCISCO, CA

Past

September 29, 2015 - July 6, 2016

KROLL SECURITIES LLC

CRD#: 36927

EAST PALO ALTO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/6/2024)

Exams

State Security Law Exam

Series 63

Date: 8/14/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/29/2015

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Charles L. Penner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Larsen Penner's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT INVESTMENT BANKERS, CORP.

IKONA PARTNERS

FLYING CLOUD SECURITIES LLC

VISTA POINT ADVISORS, LLC

VISTA POINT ADVISORS, LLC

KROLL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/14/2015

SIE

Date: 10/1/2018

Series 79

Date: 9/29/2015

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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