Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vincent? Claim Your ProfileVincent Penn is an active financial advisor with over 20 years of experience in the industry. He is currently registered with Citigroup Global Markets Inc. in both New Jersey and New York. Vincent also has experience with CITICORP INVESTMENT SERVICES and MORGAN STANLEY DW INC.. He holds a variety of securities licenses, including Series 7, 9, 10, 23, 24, 31, 66, and SIE. Vincent provides a range of advisory services to individual and institutional clients, including portfolio management, financial planning, and asset allocation advice.
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.
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.
Asset allocation advice
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
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
02/20/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
08/05/2003 - 12/02/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 12/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/09/2015
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 12/31/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/01/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 08/04/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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