Robert David Penn

Employer firm

Penn Advisory Group Inc. CRD 315991

$53.1M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 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