JP
Jason A. Penrod
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CRD#: 7078126
JP
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.
Jason Albert Penrod, who also goes by Jason Penrod, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2019. Jason had worked at 4 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jason Penrod
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.
(1) FAMILY FINANCIAL SERVICES OF FLORIDA, LLC; 122 E TILLMAN AVE LAKE WALES, FL 33853; WWW.FAMILYFINANCIALFL.COM; MANAGING DIRECTOR: INSURANCE; INVESTMENTS AND FINANCIAL PLANNING; INVESTMENT RELATED; COMPENSATION IN THE FORM OF SALARY, FEES AND COMMISSIONS; 40 OR MORE HOURS PER WEEK DURING NORMAL TRADING HOURS (2) JAY & DEN PROPERTIES FLORIDA, LLC; 122 E TILLMAN AVE LAKE WALES, FL 33853; PRESIDENT AND OWNER; PROPERTY MANAGEMENT; INVESTMEND RELATED; 5 HOURS PER WEEK DURING NORMAL TRADING HOURS (3) FAMILY ELDER LAW; 122 E TILLMAN AVE LAKE WALES, FL 33853; WWW.FAMILYELDERLAW.COM; OWNER AND ATTORNEY; LAW PRACTICE; COMPENSATION $12,500/MONTH; 40 OR MORE HOURS PER WEEK DURING NORMAL TRADING HOURS (4) COASTAL INVESTMENT ADVISORS; 1201 N ORANGE STREET, STE 729 WILMINGTON, DE 19801; WWW.COASTAL-ONE.COM; INVESTMENT RELATED; INVESTMENT ADVISOR REPRESETNATIVE; INVESTMENT ADVISORY BUSINESS; COMPENSATION IN THE FORM OF COMMISSIONS AND FEES; 20 HOURS PER WEEK DURING NORMAL TRADING HOURS (5) FAMILY ELDER CARE LLC; 122 E TILLMAN AVENUE LAKE WALES, FL 33853; GERIATRIC CARE MANAGEMENT; SOLE OWNER & PRESDENT; PROVIDE OVERSIGHT TO GERIATRIC CARE MANAGER; START DATE: 12/2019; 1 HOUR PER WEEK DURING NON-TRADING HOURS
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 25, 2022 - November 15, 2023
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
LAKE WALES, FL
Past
October 5, 2022 - November 15, 2023
REALTA EQUITIES, INC.
BD
CRD#: 23769
LAKE WALES, FL
Past
September 13, 2019 - September 23, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
Lake Wales, FL
Past
August 31, 2019 - September 23, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
S. Lakeland, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/15/2019
General Securities Representative ExaminationCurrent Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
