Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Walter Penn is an investment advisor with Raymond James & Associates, Inc. Frank Walter Penn has over 36 years of experience in the financial services industry. Frank Walter Penn is a Registered Representative and Investment Advisor Representative in Texas. Frank Walter Penn is also registered as an investment advisor in 12 states, including California, Florida, Georgia, Illinois, Michigan, New Jersey, New York, North Carolina, Oregon, South Dakota, Texas, and Washington. Frank Walter Penn holds Series 4, 7, 24, and 63 licenses. Frank Walter Penn is a licensed agent for Raymond James & Associates, Inc., and is also the owner of several businesses outside of the financial services industry.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TX
12/15/2005 - Present
Raymond James & Associates, Inc. (Austin TX)
TX
08/17/1995 - 01/24/2006
THE PENN INVESTMENT GROUP INC. (AUSTIN TX)
TX
04/29/1987 - 09/25/1995
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
BC
Issued 05/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/1996
Series 4 - Registered Options Principal Examination
BC
Issued 05/22/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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