Chase Penman, financial advisor New York NY
90 score

Chase Penman

CRD Number: 5906060
Current Firm: E*trade Capital Management, LLC

Chase Penman (CRD# 5906060) is an Investment Advisor Representative working at E*trade Capital Management, LLC in New York, NY and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Advocare Roseville, CA Mar 2014 - Current 2
E*trade Securities LLC Roseville, CA Feb 2014 - Current 2
E*trade Capital Management, LLC Roseville, CA Feb 2014 - Current 2
Td Ameritrade Institutional San Deigo, CA Aug 2011 - Oct 2013 2
Various Insurance Carriers For W & R Insurance Agencies San Diego, CA May 2011 - Jul 2011 < 1
Waddell & Reed, Inc. San Diego, CA Apr 2011 - Jul 2011 < 1
University Of Phoenix San Diego, CA Jun 2010 - Mar 2011 < 1
Fedex National Ltl Elk Grove, CA Nov 2009 - Jun 2010 < 1
Unemployed Sacramento, CA Oct 2008 - Nov 2009 1
Quantum Group LLC Leawood, KS May 2006 - Oct 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2012
S66 NASAA Uniform Combined State Law Examination Jan 2013
Contact Info for Chase C. Penman
Phone Number: 646-521-4453
Firm Website: https://www.etrade.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    3,199
    MILLIONS
  • Total Number of Accounts
    19,200
    ACCOUNTS
  • Average Account Value
    $166,610
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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