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JP

Justin D. Pennetta

VISTIA CAPITAL
Castle Rock, CO 80104
Some features on this profile are disabled
CRD#: 6303911
JP

Professional summary

Justin Dean Pennetta, who also goes by Justin D Pennetta, is a registered financial professional currently at VISTIA CAPITAL, LLC located in Castle Rock, Colorado.

Justin is registered as a RR (Registered Representative) and started their career in finance in 2014. Justin has worked at 4 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Justin D Pennetta

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 Justin Dean Pennetta's CRS (Customer Relationship Summary).
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 22, 2021 - Present

VISTIA CAPITAL, LLC

Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104
BD
CRD#: 311342
Castle Rock, CO
Past

February 25, 2020 - August 26, 2021

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
CASTLE ROCK, CO
Past

February 25, 2020 - August 26, 2021

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
CASTLE ROCK, CO
Past

May 9, 2017 - February 25, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DENVER, CO
Past

April 4, 2014 - February 25, 2020

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DENVER, CO

State Registrations and Notice Filings

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

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
(8/22/2021)
RR
Alaska
(8/22/2021)
RR
Arizona
(8/22/2021)
RR
Arkansas
(8/22/2021)
RR
California
(8/22/2021)
RR
Colorado
(8/22/2021)
RR
Connecticut
(8/22/2021)
RR
Delaware
(8/22/2021)
RR
District of Columbia
(8/22/2021)
RR
Florida
(9/10/2021)
RR
Georgia
(8/22/2021)
RR
Hawaii
(10/4/2021)
RR
Idaho
(8/22/2021)
RR
Illinois
(11/23/2021)
RR
Indiana
(8/25/2021)
RR
Iowa
(8/22/2021)
RR
Kansas
(8/22/2021)
RR
Kentucky
(8/22/2021)
RR
Louisiana
(8/22/2021)
RR
Maine
(8/22/2021)
RR
Maryland
(8/22/2021)
RR
Massachusetts
(10/26/2021)
RR
Michigan
(8/22/2021)
RR
Minnesota
(9/30/2021)
RR
Mississippi
(8/22/2021)
RR
Missouri
(8/22/2021)
RR
Montana
(8/22/2021)
RR
Nebraska
(8/22/2021)
RR
Nevada
(8/22/2021)
RR
New Hampshire
(8/22/2021)
RR
New Jersey
(8/22/2021)
RR
New Mexico
(8/22/2021)
RR
New York
(8/22/2021)
RR
North Carolina
(8/22/2021)
RR
North Dakota
(8/22/2021)
RR
Ohio
(8/22/2021)
RR
Oklahoma
(8/22/2021)
RR
Oregon
(8/22/2021)
RR
Pennsylvania
(8/22/2021)
RR
Rhode Island
(8/22/2021)
RR
South Carolina
(8/22/2021)
RR
South Dakota
(8/22/2021)
RR
Tennessee
(8/22/2021)
RR
Texas
(8/22/2021)
RR
Utah
(8/22/2021)
RR
Vermont
(8/22/2021)
RR
Virginia
(10/19/2021)
RR
Washington
(8/22/2021)
RR
West Virginia
(8/22/2021)
RR
Wisconsin
(8/22/2021)
RR
Wyoming
(8/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/25/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/15/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/4/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VISTIA CAPITAL, LLC
VISTIA CAPITAL, LLC

CRD#: 311342 / SEC#: , 8-70643

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Mailing Address
202 6th Street, Suite 303, Castle Rock, CO 80104
Phone number
(720) 738-1742
Established
Delaware since 07/13/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GM417 HOLDINGS, INC.MEMBER
HAYES, SUSAN ANNFINOP/PFO/POO/CFO2856326
MOSES, GARY LEECEO/DESIGNATED PRINCIPAL7074013
ROBERTS, DANIEL ANTHONYCCO2208120
RODRIGUEZ DE ALMEIDA, PABLO ULISESREGISTERED PRINCIPAL7155564

Disclosures

Regulatory Event1

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.

Company Information

VISTIA CAPITAL, LLC

CRD#: 311342Castle Rock, CO 80104

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