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Eric Christopher Penz

Private Advisory

Redmond, WA

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Current Employers
Private Advisory

16880 Ne 79Th Street, Redmond, WA 98052 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-07-15
WA RA APPROVED 2014-10-31
  • TX RA
    APPROVED_RES
    Since 2015-07-15
  • WA RA
    APPROVED
    Since 2014-10-31

Branch Locations

16880 Ne 79Th Street, Redmond, WA 98052 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Private Advisory Group Llc Redmond WA 09/2014 Present
  • 09/2014 → Present
    Private Advisory Group Llc
    Redmond, WA
Previous Registrations
Other Businesses

AUTHORGATE LLC; NOT INVESTMENT RELATED; SAMMAMISH, WA; NOVELIST; OWNER; START DATE 1/1999; 50 HRS PER MONTH; 0 HRS DURING TRADING; WRITE NOVELS AND SCREEN PLAYS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-31
S63 Uniform Securities Agent State Law Examination 2003-11-18
  • S66 Uniform Combined State Law Examination
    2013-05-31
  • S63 Uniform Securities Agent State Law Examination
    2003-11-18
Other Names
  • Eric C Penz

View on SEC IAPD

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