Robert M. Pennell
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.
Robert Maynard Pennell was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 1995 - February 22, 2018
APPROPRIATE BALANCE FINANCIAL SERVICES INC
February 14, 1982 - November 4, 1991
KMS FINANCIAL SERVICES, INC.
October 6, 1980 - March 30, 1982
EQUITEC SECURITIES COMPANY
March 26, 1980 - September 30, 1980
PACIFIC WEST SECURITIES, INC.
October 29, 1979 - April 1, 1980
SYMON GROUP, LTD.
State Registrations and Notice Filings
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Exams
Current Firm
APPROPRIATE BALANCE FINANCIAL SERVICES INC
CRD#: 105458 / SEC#: 801-22418
Contact information
Red Flags
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