Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Leslie Penn is a financial advisor based in Wilmington, North Carolina. Robert has over 27 years of experience in the financial services industry. Robert is currently registered with Commonwealth Financial Network. Previously, Robert worked at Morgan Stanley DW Inc. and IFG Network Securities, Inc., among other firms. Robert has a variety of licenses and certifications, including Series 6, 7, 22, 26, 31, 63, and 65. Robert also holds licenses in North Carolina. Robert specializes in a variety of financial services, including financial planning, portfolio management, and investment company products.
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
NC
06/10/2005 - Present
Commonwealth Financial Network (Wilmington NC)
NC
06/10/2005 - 07/31/2019
COMMONWEALTH FINANCIAL NETWORK (WILMINGTON NC)
NY
06/29/2001 - 06/13/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
GA
03/31/1993 - 06/29/2001
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
GA
09/08/1992 - 04/07/1993
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 10/24/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 04/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/28/1993
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 09/04/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
Not sure Robert Penn is the right advisor for you? Invested Better is here to help.
