Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Pennington is a financial advisor with Raymond James & Associates, Inc., a firm with more than $433 billion in regulatory assets under management. Robert has more than 27 years of experience in the financial industry and has been with Raymond James since January 2013. Robert is a Series 7 and Series 63 registered representative and holds the Series 50, Series 53, and SIE certifications. He specializes in providing financial planning, portfolio management, and investment advice for individuals, families, and businesses. Robert is also a registered representative in 32 states.
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.
Please see note in schedule d - miscellaneous
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
01/02/2013 - Present
Raymond James & Associates, Inc. (LEXINGTON KY)
KY
04/14/2003 - 01/02/2013
MORGAN KEEGAN & COMPANY, INC. (LEXINGTON KY)
NE
02/03/1999 - 04/15/2003
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
KY
06/08/1995 - 02/03/1999
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
BC
Issued 11/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/03/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 06/07/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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