Robert David Penn

Current Employers

Penn Advisory Group Inc.

1307 3Rd Street Sw, Mount Vernon, IA 52314 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-05-22
IA	RA	APPROVED	2021-10-05

AZ RA
APPROVED

Since 2026-05-22
IA RA
APPROVED

Since 2021-10-05

Branch Locations

Mount Vernon, IA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Broker Dealer Financial Services Corp.	Cedar Rapids	IA	12/1994	10/2018
Investment Advisers Corp, Division Of Bdfs	Cedar Rapids	IA	01/2008	10/2018
Cambridge Investment Research, Inc.	Mt. Vernon	IA	10/2018	09/2021
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	10/2018	09/2021
Penn Advisory Group Inc.	Mount Vernon	IA	10/2021	Present

12/1994 → 10/2018

Broker Dealer Financial Services Corp.

Cedar Rapids, IA
01/2008 → 10/2018

Investment Advisers Corp, Division Of Bdfs

Cedar Rapids, IA
10/2018 → 09/2021

Cambridge Investment Research, Inc.

Mt. Vernon, IA
10/2018 → 09/2021

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
10/2021 → Present

Penn Advisory Group Inc.

Mount Vernon, IA

Previous Registrations

2018-10-20 → 2021-10-12

Cambridge Investment Research Advisors, Inc.

Mount Vernon, IA
2008-10-29 → 2018-10-20

Investment Advisors Corp

Cedar Rapids, IA

Coralville, IA

Mt Vernon, IA

Other Businesses

1. LEGAL SHIELD; 1307 3RD ST SW, MOUNT VERNON, IA, 10/2013. REFERRING INDIVIDUALS TO LEGAL SHIELD. NIR - 10/YR - 1/TRADING. 2. NOTARY PUBLIC, 1307 3RD ST SW, MOUNT VERNON, IA, 2/2016. INV REL - 2/YR - 2/TRADING. 3. ROBERT PENN, SR. 1307 3RD ST. SW, MOUNT VERNON, IA, SELLING INSURANCE PRODUCTS, INDIVIDUAL AGENT, 10/2021, 1/MO - 1/TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-10-03
S63	Uniform Securities Agent State Law Examination	1989-07-20

S65 Uniform Investment Adviser Law Examination

2008-10-03
S63 Uniform Securities Agent State Law Examination

1989-07-20

Other Names

Robert David Penn
Robert David Penn

View on SEC IAPD