Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchel? Claim Your ProfileMitchel Stuart Penn is a financial advisor with over 20 years of experience in the industry. Currently, Mitchel is registered with Oppenheimer & Co. Inc. in New York and Maryland. Previously, Mitchel worked with Janney Montgomery Scott LLC in Maryland. Mitchel holds the Series 7, Series 66, Series 86, Series 87, and SIE licenses and is also a Chartered Financial Analyst.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
03/03/2021 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
MD
04/18/2012 - 03/09/2021
JANNEY MONTGOMERY SCOTT LLC (TOWSON MD)
MD
12/01/2005 - 02/23/2012
LEGG MASON INVESTOR SERVICES, LLC (BALTIMORE MD)
MD
12/10/2003 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 5/14/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2014
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/7/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/9/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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