Jay Penney, financial advisor Scottsdale AZ
74 score

Jay Penney

CRD Number: 1146552
Current Firm: Ashton Thomas Private Wealth, LLC

Jay Penney (CRD# 1146552) is an Investment Advisor Representative working at Ashton Thomas Private Wealth, LLC in Scottsdale, AZ and has over 34 years of experience in the finance industry. Jay Penney 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
Ashton Thomas Insurance Agency Scottsdale, AZ Oct 2016 - Current 1
Ashton Thomas Private Wealth, LLC Scottsdale, AZ Aug 2016 - Current 1
Peachtree Capital Corporation Atlanta, GA Aug 2016 - Current 1
Jay R. Penney, LLC Scottsdale, AZ Apr 2000 - Current 17
Geneos Wealth Management Inc. Scottsdale, AZ Jan 2009 - Aug 2016 7
Usf Securities, LP Scottsdale, AZ Dec 2006 - Jan 2009 2
Usf Advisors, LLC Scottsdale, AZ Dec 2006 - Jan 2009 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1983
S65 NASAA Investment Advisors Law Examination May 1998
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:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jay R. Penney
Phone Number: 602-732-4745
Registered State(s):
  • AZ
  • TX
  • CA
  • CO
  • IL
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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