Arthur J. Penna
Professional summary
Arthur James Penna was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arthur James Penna was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1978. Arthur had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2008 - December 19, 2012
EAGLE ONE INVESTMENTS, LLC
January 1, 2004 - May 13, 2008
VOYA FINANCIAL ADVISORS, INC.
August 10, 1989 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 1, 1978 - August 10, 1989
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
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Exams
Series 1
Date: 4/17/1978
Registered Representative ExaminationCurrent Firm
EAGLE ONE INVESTMENTS, LLC
CRD#: 45254 / SEC#: , 8-51002
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRUMBOLTZ, BRENT THOMAS | DIRECTOR | 2219848 |
| PAULSON, DAVID CLAIRE | CEO/CFO/DIRECTOR | 1430385 |
| VANDEWEERD, ALAN LEE | DIRECTOR | 829161 |
| ALEXANDER, THOMAS EUGENE | DIRECTOR | 1176667 |
| ELSE, JOHN JEFFREY | MEMBER | 1948228 |
| FARRELL, PATRICK STUART | MEMBER | 872923 |
| HAGERTY, MICHAEL CHARLES | DIRECTOR | 2053557 |
| BAGBY, DOUGLAS BLAINE | MEMBER | 1335894 |
| COLLETT, MARTY MARIE | COO | 4457693 |
| GOODWIN, MATTHEW EVERETTE | PRESIDENT/CCO | 4447880 |
Disclosures
| Bond | 1 |
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