Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Penney? Claim Your ProfilePenney Gagne is an investment advisor representative with Wells Fargo Clearing Services, LLC, with over 27 years of experience in the financial services industry. Penney is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Penney holds Series 7, Series 63, and Series 66 securities licenses, and is also licensed to provide investment advisory services in California and Texas. Penney's previous employers include RBC Capital Markets, LLC, Wells Fargo Advisors, LLC, Crowell, Weedon & Co., The Seidler Companies Incorporated, Wachovia Securities, LLC and Prudential Securities Incorporated. Penney primarily works with high-net-worth individuals, corporations, and charitable organizations.
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.
Investment consulting services to institutional clients
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
CA
03/01/2012 - Present
Wells Fargo Clearing Services, LLC (ROLLING HILLS ESTATES CA)
CA
05/27/2011 - 02/23/2012
RBC CAPITAL MARKETS, LLC (BEVERLY HILLS CA)
CA
02/12/2007 - 05/27/2011
WELLS FARGO ADVISORS, LLC (ROLLING HILLS ESTATES CA)
CA
12/07/2006 - 02/09/2007
CROWELL, WEEDON & CO. (IRVINE CA)
CA
07/25/2003 - 12/07/2006
THE SEIDLER COMPANIES INCORPORATED (IRVINE CA)
MO
06/05/2000 - 08/05/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/06/1995 - 06/06/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 06/05/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Penney Gagne is the right advisor for you? Invested Better is here to help.
