John Joseph Penna

Current Employers

Employment History

• 11/2006 → 08/2019
  Sageig Inc. Dba Sage Investment Group
  Williamsville, NY
• 11/2014 → 01/2018
  Lpl Financial Llc
  Williamsville, NY
• 11/2014 → 01/2018
  Private Advisor Group, Llc
  Morristown, NJ
• 01/2018 → 08/2019
  Peak Brokerage Services, Llc
  Palm Beach Gardens, FL
• 01/2018 → 08/2019
  Blackridge Asset Management, Llc
  Williamsville, NY
• 08/2019 → 11/2024
  Cadaret Grant
  Williamsville, NY
• 11/2024 → Present
  Osaic Wealth, Inc.
  Williamsville, NY

Previous Registrations

• 2019-08-27 → 2024-11-19
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  Williamsville, NY
  Snyder, NY
• 2018-01-23 → 2019-08-22
  Blackridge Asset Management, Llc
  Jupiter, FL
  Buffalo, NY
• 2014-12-02 → 2018-06-05
  Private Advisor Group, Llc
  Williamsville, NY
  Morristown, NJ

Other Businesses

1) CW Virtual Offices, Owner since 1/1/22, 1967 Wehrle Drive, Williamsville, NY, provide virtual office address for businesses, office mailing and mail receipt forwarding, allows business to maintain professional address virtually, 10 hours per month, 10 during trading, not investment related. 2) MEDICAID ANALYSIS POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2023 ADDRESS: 4255 Harlem Rd, Buffalo NY 14226, United States DESCRIPTION: Analyze client statements and finances for Elder Care Solutions of WNY. Elder Care will ask my informed opinion to clarify accounts and discuss strategies that would impact the NYS Medicaid process. 3) RETIREMENT ANALYTICS, INC POSITION: Owner NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2006 ADDRESS: 1967 Wehrle Drive, Suite 3, Williamsville NY 14221, United States DESCRIPTION: Financial Planner 4) RETIREMENT ANALYTICS, INC. POSITION: Insurance Agent NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2019 ADDRESS: 1967 Wehrle Drive, Suite 3, Williamsville NY 14221, United States DESCRIPTION: Work with the Specific Solutions Agency to provide clients with Insurance options. 5) CW VIRTUAL OFFICES POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 1967 Wehrle Drive, Suite 3, Williamsville NY 14221, United States DESCRIPTION: CW Virtual Offices, Owner since 1/1/22, 1967 Wehrle Drive, Williamsville, NY, provide virtual office address for businesses, office mailing and mail receipt forwarding, allows business to maintain professional address virtually, 10 hours per month, 10 during trading, not investment related.

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-03-19
• S65 Uniform Investment Adviser Law Examination
  1998-03-19