linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Andrew John Pennecke

Scotia Capital (usa) Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Andrew? Claim Your Profile

About Andrew John Pennecke

Andrew John Pennecke is a financial professional with over 23 years of experience in the industry. Andrew is currently registered with Scotia Capital (usa) Inc. and has been with the firm since October 2013. Before joining Scotia Capital (usa) Inc., Andrew held positions at BNP PARIBAS PRIME BROKERAGE, INC. and BANC OF AMERICA SECURITIES LLC. Andrew holds a variety of licenses and qualifications including Series 63, Series 10, Series 9, Series 99TO, Series 57TO, SIE, and Series 7. Andrew is registered in all 50 states and the District of Columbia.

Firm Information

Andrew Pennecke is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Andrew Pennecke’s Registration & Firm History

NY

10/03/2013 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

08/19/2008 - 08/27/2013

BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)

NY

03/13/2000 - 10/01/2008

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

Not sure if Andrew John Pennecke is right for you?

Licenses & Designations

BC

Issued 03/23/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/06/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/30/2023

Series 99TO - Operations Professional Examination

BC

Issued 05/26/2021

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Andrew John Pennecke.
Not sure if Andrew John Pennecke is right for you?