Susan Penney, financial advisor Oklahoma City OK
48 score

Susan Penney

CRD Number: 1238195
Current Firm: Kovack Advisors, Inc.

Susan Penney (CRD# 1238195) is an Investment Advisor Representative working at Kovack Advisors, Inc. in Oklahoma City, OK and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Kovack Securities, Inc. Fort Lauderdale, FL Nov 2012 - Current 4
Kovack Advisors, Inc. Fort Lauderdale, FL Nov 2012 - Current 4
Westside Investment Management, LLC Oklahoma City, OK Mar 2011 - Nov 2012 1
Lpl Financial LLC Oklahoma City, OK Feb 2011 - Nov 2012 1
Unemployed Oklahoma City, OK Dec 2010 - Feb 2011 < 1
Wells Fargo Advisors, LLC Edmond, OK Jul 2003 - Feb 2011 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1984
S65 NASAA Investment Advisors Law Examination Apr 1996
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Susan E. Penney
Phone Number: 954-782-4771
Registered State(s):
  • OK
  • TX
By the Numbers
  • Total Assets Under Management
    1,317
    MILLIONS
  • Total Number of Accounts
    5,353
    ACCOUNTS
  • Average Account Value
    $246,011
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • 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)
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
48

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