Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Penney is an investment advisor representative with Kovack Advisors, Inc. Susan has been in the industry since 1984 and has a broad range of experience working with individual investors, businesses, and pension plans. Susan is registered with the Financial Industry Regulatory Authority (FINRA) and holds multiple licenses, including the Series 6, 7, 22, 63, and 65 exams. Susan provides financial planning, portfolio management, and selection of other advisors. Previously, Susan was associated with LPL Financial LLC, Wells Fargo Advisors, LLC, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Princor Financial Services Corporation.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
OK
11/12/2012 - Present
Kovack Advisors, Inc. (OKLAHOMA CITY OK)
OK
02/22/2011 - 11/21/2012
LPL FINANCIAL LLC (OKLAHOMA CITY OK)
OK
07/01/2003 - 12/22/2010
WELLS FARGO ADVISORS, LLC (EDMOND OK)
NY
06/29/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/16/1996 - 07/16/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
02/11/1985 - 02/20/1996
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
NA
02/17/1984 - 09/23/1986
FIRST INVESTORS CORPORATION
IA
Issued 04/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/24/1996
Series 7 - General Securities Representative Examination
BC
Issued 10/01/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 02/16/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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