Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Penny? Claim Your ProfilePenny Jean Paugh is an investment advisor representative with CWM, LLC, and has been in the industry for over 25 years. Penny holds a Series 4, Series 7, Series 24, Series 53, and Series 63 license and has successfully completed the Uniform Investment Adviser Law Examination (Series 65) and the Securities Industry Essentials Examination (SIE). Penny has been affiliated with several firms throughout her career including CETERA ADVISOR NETWORKS LLC, LPL FINANCIAL LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., and BA INVESTMENT SERVICES, INC.. Penny offers financial planning, portfolio management for individuals, and selection of other advisers. In addition to her investment advisor work, Penny is also active in the insurance and real estate industries.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Sub-advisory services for other investment advisory firms
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.
A percentage of the total value of assets under management is charged.
Solicitor fees from other investment advisors
1
2
NC
03/15/2018 - Present
CWM, LLC (Mooresville NC)
NC
03/14/2018 - 12/31/2018
CETERA ADVISOR NETWORKS LLC (MOORESVILLE NC)
NC
10/30/2012 - 03/16/2018
LPL FINANCIAL LLC (MOORESVILLE NC)
NY
10/23/2009 - 11/02/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NC
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
CA
06/18/1996 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 08/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/2000
Series 4 - Registered Options Principal Examination
BC
Issued 02/22/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/06/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
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