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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph Penna is a financial advisor with over 24 years of experience in the financial services industry. John has a wide range of experience, including working with individuals, families, businesses, and retirement plans. John is registered with Osaic Wealth, Inc. and holds a Series 7, Series 10, Series 31, Series 63, and Series 65 licenses. John is committed to helping clients reach their financial goals. John has been actively involved in the industry since 1998. John is currently active in Florida, New York, and North Carolina.
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.
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.
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2
NY
11/15/2024 - Present
Osaic Wealth, Inc. (WILLIAMSVILLE NY)
NY
01/03/2018 - 08/21/2019
PEAK BROKERAGE SERVICES, LLC (Buffalo NY)
NY
11/21/2014 - 12/31/2017
LPL FINANCIAL LLC (WILLIAMSVILLE NY)
NY
11/29/2006 - 11/26/2014
CADARET, GRANT & CO., INC. (WILIAMSVILLE NY)
NY
06/26/2006 - 11/29/2006
DELTA EQUITY SERVICES CORPORATION (WILLIAMSVILLE NY)
NY
06/12/2006 - 06/26/2006
FIVE STAR INVESTMENT SERVICES, INC. (WARSAW NY)
NY
01/12/2004 - 06/09/2006
DELTA EQUITY SERVICES CORPORATION (WILLIAMSVILLE NY)
NY
06/05/2000 - 01/14/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/16/1998 - 06/01/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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