Jay PenneyCRD 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.
Newman's Financial Planning
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|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|
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
Total Assets Under Management2,024MILLIONS
Total Number of Accounts10,968ACCOUNTS
Average Account Value$184,545
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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