Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brian Pennell is a financial advisor with Raymond James & Associates, Inc. Thomas is located in Virginia Beach, Virginia and has been in the financial services industry since February 21, 1993. Thomas has a strong track record of success in helping clients achieve their financial goals. He is a registered investment advisor with the state of Virginia and holds a Series 7, 63, 31 and SIE licenses. Thomas is also a member of the Virginia Zoological Society where he serves as Director, assisting with strategic planning, fundraising, development, education, communications and other functions.
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
VA
10/27/2011 - Present
Raymond James & Associates, Inc. (VIRGINIA BEACH VA)
VA
02/22/1993 - 11/02/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (VIRGINIA BEACH VA)
IA
Issued 03/03/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/12/1993
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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