Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Penn is an investment advisor representative with Stifel, Nicolaus & Company, Inc. Richard has been in the industry since June 25, 1992 and has been with Stifel, Nicolaus & Company, Inc. since August 2001. Richard is licensed to provide investment advice in Kentucky and Texas. Richard William Penn is also registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative and holds the Series 7, 31 and SIE securities licenses.
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
KY
01/14/2020 - Present
Stifel, Nicolaus & Company, Inc. (LOUISVILLE KY)
NY
12/23/1992 - 09/22/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
OH
04/10/1992 - 10/06/1992
EQUITY ANALYSTS INC. (CINCINNATI OH)
IA
Issued 11/15/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 04/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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