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PD

Pennie Dakis

CNR SECURITIES
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 7176164
PD

Professional summary

Pennie Dakis, who also goes by Pennie Dakis, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.

Pennie is registered as a RR (Registered Representative) and started their career in finance in 2020. Pennie has worked at 3 firms and has passed the Series 63, SIE and Series 7TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pennie Dakis

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 Pennie Dakis'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

September 15, 2023 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022
BD
CRD#: 18466
NEW YORK, NY
Past

January 31, 2022 - July 3, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
NEW YORK, NY
Past

January 1, 2020 - April 23, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
New York
(9/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2019
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CNR SECURITIES, LLC
CNR SECURITIES, LLC | ROCHDALE INVESTMENT MANAGEMENT INC. | RIM SECURITIES, LLC | RIM SECURITIES LLC

CRD#: 18466 / SEC#: , 8-36759

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

Main Address
400 Park Avenue 3rd Floor, New York, NY 10022
Mailing Address
400 Park Avenue 3rd Floor, New York, NY 10022
Phone number
(212) 702-3500
Established
Delaware since 10/11/2001
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (52 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#
CITY NATIONAL ROCHDALE HOLDINGS, LLCMANAGING MEMBER / 100% OWNER
BANUELOS, ALMA DELIABOARD DIRECTOR4530705
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
CEPLER, MITCHELL DANIELCFO AND FINOP4554270
DANIEL, JOBY SWANKUTTYBOARD DIRECTOR6616727
GIAQUINTO, GREGGPRESIDENT, CEO, & BOARD DIRECTOR3182583
O'KEEFFE, IVOR PATRICKBOARD DIRECTOR2397120
RILEY, SHAWN DAVIDBOARD DIRECTOR8157413

Disclosures

Regulatory Event3
Arbitration1

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

CNR SECURITIES, LLC

CRD#: 18466New York, NY 10022

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