Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Michael Pennise is a financial advisor with over 20 years of experience in the industry. Timothy is currently registered with Robert W. Baird & Co. Inc. and has previously worked with UBS Financial Services Inc. and Sanford C. Bernstein & Co., LLC. Timothy holds the Series 7, Series 31, Series 63, Series 66 and SIE licenses and is registered in 26 states. Timothy is a financial advisor for individuals, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
IL
09/04/2019 - Present
Robert W. Baird & Co. Inc. (CHICAGO IL)
IL
09/25/2009 - 09/13/2019
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
03/07/2006 - 09/28/2009
SANFORD C. BERNSTEIN & CO., LLC (CHICAGO IL)
NY
02/05/2003 - 08/04/2004
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
IL
12/14/2000 - 07/29/2002
WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)
BOTH
Issued 04/18/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/13/2000
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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