Penny Haugrud (CRD# 4732462) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Fargo, ND and has over 9 years of experience in the finance industry.
CRD# 2591356
Commonwealth Financial Network
CRD# 2563463
Ubs Financial Services Inc.
CRD# 2122017
Osaic Wealth, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Fargo, ND | Feb 2019 - Current | 5 |
| Wells Fargo Clearing Services, LLC | Pelican Rapids, MN | Nov 2016 - Feb 2019 | 2 |
| Wells Fargo Advisors, LLC | Pelican Rapids, MN | Aug 2014 - Nov 2016 | 2 |
| Wells Fargo Home Mortgage | Pelican Rapids, MN | Dec 2011 - Aug 2014 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 2015 |
| S65 | NASAA Investment Advisors Law Examination | Jun 2019 |
- ND
- TX
-
Total Assets Under Management1,271,594MILLIONS
-
Total Number of Accounts2,911,578ACCOUNTS
-
Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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