Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Francis Penney is a financial professional with over 17 years of experience in the industry. John is currently registered with State Street Global Advisors Funds Distributors, LLC and holds Series 3, 7, 57 and SIE licenses. John has previously held roles at firms such as Invesco Distributors, Inc., Credit Suisse Securities (USA) LLC, ALPS Distributors, Inc., AllianceBernstein Investments, Inc., and UBS Financial Services Inc. John is registered in all states of the United States.
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.
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.
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2
NY
04/19/2024 - Present
State Street Global Advisors Funds Distributors, LLC (New York NY)
NY
09/01/2017 - 03/13/2024
INVESCO DISTRIBUTORS, INC. (NEW YORK NY)
NY
03/26/2015 - 08/16/2017
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
10/08/2009 - 03/30/2015
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
NY
08/10/2007 - 09/09/2009
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
MA
08/08/2006 - 08/08/2007
UBS FINANCIAL SERVICES INC. (WELLESLEY MA)
BOTH
Issued 09/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2016
Series 57 - Securities Trader Exam
BC
Issued 05/07/2016
Series 3 - National Commodity Futures Examination
BC
Issued 08/07/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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