Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Penn has been in the financial services industry since 1998. David is registered with Raymond James Financial Services Advisors, Inc. as a Registered Representative and Investment Advisor Representative. David is licensed in 26 states and has 24 years of experience. David is a Board member of the City of Brea and a partner in The Burgh LLC, a real estate investment company.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
CA
04/28/2016 - Present
Raymond James Financial Services Advisors, Inc. (BREA CA)
CA
12/10/2008 - 10/21/2014
SOUTHWEST SECURITIES, INC. (BEVERLY HILLS CA)
CA
10/20/1998 - 12/31/2008
M.L. STERN & CO., LLC. (BEVERLY HILLS CA)
IA
Issued 08/16/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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