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Jonathan Lee Penn

RIA Advisors

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About Jonathan Lee Penn

Jonathan Penn is a financial advisor at RIA Advisors, a wealth management company, providing financial advice. Jonathan is a CERTIFIED FINANCIAL PLANNER™ professional and holds Series 7 and Series 65 licenses. Jonathan has been a registered representative since January 6, 2000. Prior to joining RIA Advisors, Jonathan was employed by CHARLES SCHWAB & CO., INC. from January 6, 2000 to June 5, 2009. Jonathan has experience providing financial planning services for individuals and businesses.

Firm Information

Jonathan Penn is currently registered with RIA Advisors. RIA Advisors is a Houston, TX-based firm with approximately $1 billion - $10 billion in assets under management. The firm provides financial planning, educational seminars, publication of periodicals, portfolio management for businesses and individuals. The firm has 6 licensed agents, 9 investment advisor representatives, and 14 investment advisory functions. RIA Advisors primarily works with individuals other than high-net-worth, high-net-worth individuals, pension and profit-sharing plans, business development companies, and corporations or other businesses.
RIA Advisors

11750 KATY FREEWAY

HOUSTON, TX 77079

$1.53B

Assets Under Management

Not reported

Total Clients

12

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Jonathan Penn’s Registration & Firm History

TX

09/25/2020 - Present

RIA Advisors (Houston TX)

TX

01/06/2000 - 06/05/2009

CHARLES SCHWAB & CO., INC. (HOUSTON TX)

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Licenses & Designations

IA

Issued 03/29/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/24/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/21/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Jonathan Lee Penn.
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