Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Michael Peniche is a registered representative with Robert W. Baird & Co. Inc. based in Lynchburg, Virginia. John Michael has been in the financial services industry since December 1997. John Michael's previous experience includes positions with WELLS FARGO CLEARING SERVICES, LLC, MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. John Michael has passed the Series 66, Series 7 and SIE exams and holds licenses in multiple 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.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
VA
11/13/2020 - Present
Robert W. Baird & Co. Inc. (Lynchburg VA)
VA
03/04/2011 - 11/16/2020
WELLS FARGO CLEARING SERVICES, LLC (LYNCHBURG VA)
VA
06/01/2009 - 03/18/2011
MORGAN STANLEY SMITH BARNEY (LYNCHBURG VA)
VA
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LYNCHBURG VA)
MD
12/23/1997 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 12/30/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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