Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael John Penton is a financial professional with over 30 years of experience in the securities industry. Michael is a Registered Representative and Investment Advisor Representative of Wedbush Securities Inc. Michael has been affiliated with Wedbush since 1990, previously working for other firms including B.C. Christopher Securities Co., Jesup & Lamont, Incorporated, Hanifen, Imhoff Securities Corp., J.T. Moran & Co., Inc. and Graystone Nash, Inc. Michael has been licensed to provide securities-related services in over 30 states and holds several professional licenses, including Series 7, 9, 10, 31, 63, 65, 99TO and SIE. Michael has been providing investment advisory services for over 20 years.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
07/01/2020 - Present
Wedbush Securities Inc. (DENVER CO)
MO
02/02/1990 - 04/20/1990
B.C. CHRISTOPHER SECURITIES CO. (KANSAS CITY MO)
NA
01/26/1990 - 02/07/1990
JESUP & LAMONT, INCORPORATED
NA
01/20/1989 - 02/05/1990
HANIFEN, IMHOFF SECURITIES CORP.
NA
01/05/1989 - 01/21/1989
J. T. MORAN & CO., INC.
NA
03/23/1988 - 01/19/1989
GRAYSTONE NASH, INC.
IA
Issued 02/05/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/08/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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