David Penniall, financial advisor Pasadena CA
96 score

David Penniall

CRD Number: 1088267
Current Firm: Penniall & Associates

David Penniall (CRD# 1088267) is an Investment Advisor Representative working at Penniall & Associates in Pasadena, CA and has over 24 years of experience in the finance industry. David Penniall has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Phc Newport Beach, CA Jul 2017 - Current < 1
Awm Capital LLC Scottsdale, AZ May 2017 - Current 1
Awm Capital. LLC Pasadena, CA Jan 2017 - Current 1
Phc, Inc. Pasadena, CA Jul 2016 - Current 1
The Living Plan Pasadena, CA May 2016 - Current 2
The Living Plan, LLC Newport Beach, CA May 2016 - Current 2
Penniall Retirement Advisors Pasadena, CA Jun 2015 - Current 2
Penniall Real Estate Services, Inc. Newport Beach, CA Sep 2012 - Current 5
Penniall Insurance Services Pasadena, CA May 2011 - Current 7
Awm Group Pasadena, CA Jan 2011 - Current 7
United Planners' Financial Services Scottsdale, AZ Aug 2009 - Current 8
Penniall Management Company Pasadena, CA Sep 2008 - Current 9
Penniall & Associates Pasadena, CA Jan 2002 - Current 16
Penniall & Associates Pasadena, CA Jan 2002 - Current 16
Paragon Sports International Pasadena, CA Jun 2000 - Current 17
David R. Penniall - Real Estate Agent Pasadena, CA Jan 2000 - Current 18
West Coast Sports Mgmt Pasadena, CA Jan 1997 - Current 21
David R. Penniall - Independent Agent Pasadena, CA Sep 1983 - Current 34
Penniall & Associates Pasadena, CA Jan 1982 - Current 36
Pension Architects Advisory Group, LLC Pasadena, CA Aug 2007 - Sep 2013 6
Awm Properties New Port Breach, CA Jul 2011 - Sep 2012 1
Highpoint Partners LLC Pasadena, CA Jan 2002 - Dec 2009 7
Nrp Financial, Inc. Bryan, OH Jul 2008 - Oct 2009 1
Aig Financial Advisors, Inc. Phoenix, AZ Dec 1997 - Jul 2008 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1995
S65 NASAA Investment Advisors Law Examination Oct 1993
Contact Info for David R. Penniall
Phone Number: 626-795-3062
Registered State(s):
  • AK
  • GA
  • HI
  • ID
  • IL
  • IA
  • KS
  • MD
  • MA
  • MI
  • MO
  • NH
  • NJ
  • NC
  • OH
  • PA
  • SC
  • UT
  • VT
  • VA
  • WA
  • WI
  • WV
  • AZ
  • CT
  • DC
  • FL
  • NV
  • OR
  • AR
  • CA
  • TX
  • CO
  • LA
  • MT
  • NM
By the Numbers
  • Total Assets Under Management
    1,040
    MILLIONS
  • Total Number of Accounts
    2,099
    ACCOUNTS
  • Average Account Value
    $495,320
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
  • Pension consulting services
Types of Clients
Registered States

AK, AR, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, KS, LA, MA, MD, MI, MN, MO, MT, NC, NH, NJ, NM, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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