Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Penney is a registered investment advisor with Nuveen Asset Management, LLC. James has been in the financial services industry since April 15, 2017, and holds both Series 63 and Series 65 licenses. James previously worked at BlackRock Investments, LLC and Capital Investment Group, Inc. The advisor has a specialization in asset allocation, fixed income, portfolio management for individuals, investment companies, pooled investment vehicles and businesses. James provides advisory services for individuals, business development companies, corporations, state or municipal government entities, insurance companies, investment companies, pooled investment vehicles, charitable organizations, pension and profit sharing plans, and high net worth individuals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Strategic management for diversified investment portfolios.
Model portfolio advice
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
01/31/2022 - Present
Nuveen Asset Management, LLC (CHICAGO IL)
CA
06/28/2016 - 01/21/2020
BLACKROCK INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
05/29/2015 - 11/18/2015
CAPITAL INVESTMENT GROUP, INC. (COTO DE CAZA CA)
CA
01/28/2014 - 10/17/2014
VERTICAL CAPITAL SECURITIES, LLC (IRVINE CA)
IA
Issued 10/13/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Penney is the right advisor for you? Invested Better is here to help.
