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DP

Donald R. Penrod

PENROD FINANCIAL GROUP
Branson, MO 65616
Some features on this profile are disabled
CRD#: 833918
DP

Professional summary

Donald Ray Penrod is a registered financial advisor currently at PENROD FINANCIAL GROUP located in Branson, Missouri.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1977. Donald has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Donald Ray Penrod'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

June 14, 1989 - Present

PENROD FINANCIAL GROUP

Office #1: 574 State Highway 248, Branson, MO 65616Office #2: 574 State Highway 248 Suite 5, Branson, MO 65616
BD
CRD#: 22785
Branson, MO
Past

May 5, 1987 - December 15, 2011

PENROD & COMPANY

RIA
CRD#: 113899
BRANSON, MO
Past

January 2, 1987 - June 21, 1989

LPL FINANCIAL LLC

BD
CRD#: 6413
Past

October 18, 1985 - January 15, 1987

FIRST STATE FINANCIAL MANAGEMENT, INC.

BD
CRD#: 16590
Past

March 1, 1977 - October 28, 1985

EDWARD JONES

BD
CRD#: 250

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
Missouri
(6/23/1989)

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/5/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/1985
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PENROD FINANCIAL GROUP
PENROD & COMPANY | PENROD FINANCIAL SERVICES, INC. | PENROD FINANCIAL GROUP | PENROD AND COMPANY

CRD#: 22785 / SEC#: , 8-40088

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

Main Address
574 State Highway 248 Suite 5, Branson, MO 65616
Mailing Address
P.o. Box 220, Branson, MO 65615
Phone number
(417) 334-3455
Established
Missouri since 06/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 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#
PENROD, DONALD RAYREGISTERED PRINCIPAL, TREASURER833918
AMSBERRY, RICHARD FRANCISFINOP2917504
PENROD, AARON MATTHEWVP/MUNI COMPLIANCE PRINCIPAL3194251
PENROD, BECKY LOUPRESIDENT, DESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER, AML PRINCIPAL1088598
PENROD, BECKY LOUCO-OWNER, SECRETARY1088598

Disclosures

Regulatory Event3

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

PENROD FINANCIAL GROUP

CRD#: 22785Branson, MO 65616

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