John R. Pennell
Professional summary
John Rory Pennell, who also goes by John R Pennell, John Pennell, Rory Pennell, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2016. John has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Rory Pennell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2023 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 1290 Avenue Of The Americas 17th Floor, New York, NY 10104August 6, 2018 - November 21, 2022
UBS FINANCIAL SERVICES INC.
July 21, 2016 - March 14, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2023)
(1/4/2023)
Exams
FINRA
Current Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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