Jay Penney, financial advisor Scottsdale AZ
74 score

Jay Penney

CRD Number: 1146552
Current Firm: Geneos Wealth Management, Inc.

Jay Penney (CRD# 1146552) is an Investment Advisor Representative working at Geneos Wealth Management, Inc. in Scottsdale, AZ and has over 33 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
Geneos Wealth Management Inc. Scottsdale, AZ Jan 2009 - Current 7
Jay R. Penney, LLC Scottsdale, AZ Apr 2000 - Current 16
Usf Securities, LP Scottsdale, AZ Dec 2006 - Jan 2009 2
Usf Advisors, LLC Scottsdale, AZ Dec 2006 - Jan 2009 2
Multi-financial Securities Corporation Denver, CO Mar 2000 - Dec 2006 6
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: 303-785-8470
Registered State(s):
  • AZ
  • WI
By the Numbers
  • Total Assets Under Management
    2,024
    MILLIONS
  • Total Number of Accounts
    10,968
    ACCOUNTS
  • Average Account Value
    $184,545
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • 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, VT, WA, WI, WV

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BADGES
74

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