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Penny Lee Di Giovanna

Penny L. Di Giovanna

FINANCIAL PLANNING BY DESIGN
Indian Harbour Beach, FL
Some features on this profile are disabled
CRD#: 6386723
Penny Lee Di Giovanna

Professional summary

Penny Lee Di Giovanna, CFP®, who also goes by Penny Lee Arena, Penny Lee Evans, is a registered financial advisor currently at FINANCIAL PLANNING BY DESIGN located in Indian Harbour Beach, Florida.

Penny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Penny has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Penny Lee Arena | Penny Lee Evans

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.
Penny Di Giovanna is the sole owner of Wise Penny Consulting LLC, operating under the DBA "Beyond Divorce Solutions, located at 205 Mohawk Way, Indian Harbour Beach, FL. 32937. As of June 2025, this entity is no longer offering services to new clients. The business remains open for administrative wind-down and potential future non-investment-related consulting. No compensation is currently received, and no advisory clients are serviced through this entity. Approximately 1 hour per month of time spent during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Penny Lee Di Giovanna'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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

January 10, 2024 - Present

FINANCIAL PLANNING BY DESIGN

RIA
CRD#: 328691
Indian Harbour Beach, FL
Past

June 23, 2022 - December 21, 2023

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Rockledge, FL
Past

June 23, 2022 - December 21, 2023

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Rockledge, FL
Past

December 2, 2021 - June 13, 2022

SEMMAX FINANCIAL ADVISORS, INC.

RIA
CRD#: 144978
WINSTON-SALEM, NC
Past

July 12, 2021 - November 30, 2021

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Rockledge, FL
Past

July 1, 2021 - November 30, 2021

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Rockledge, FL
Past

June 29, 2020 - June 21, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
SARASOTA, FL
Past

June 8, 2020 - June 17, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SARASOTA, FL
Past

July 16, 2018 - May 27, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
SARASOTA, FL
Past

July 6, 2018 - May 27, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
SARASOTA, FL
Past

July 21, 2017 - July 9, 2018

TSA MANAGEMENT INC

RIA
CRD#: 106440
Sarasota, FL
Past

June 5, 2017 - July 9, 2018

HALLIDAY FINANCIAL, LLC

BD
CRD#: 31741
Sarasota, FL
Past

February 9, 2015 - July 30, 2015

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
VIERA, FL
Past

October 6, 2014 - December 23, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
COCOA, FL

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Florida
(1/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/13/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FP
FINANCIAL PLANNING BY DESIGN
FINANCIAL PLANNING BY DESIGN | FINANCIAL PLANNING BY DESIGN LLC.

CRD#: 328691 / SEC#:

Florida
Registered Investment Advisory firm - (1/10/2024 Approved)
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Contact information

Main Address
Indian Harbour Beach, FL
Mailing Address
Phone number
(321) 999-7250
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts15
AUM (Assets Under Management)$ 328,904

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

FINANCIAL PLANNING BY DESIGN

CRD#: 328691Indian Harbour Beach, FL

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