Nicholas Penna

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2022-10-25
NJ	RA	APPROVED	2019-04-11

SC RA
APPROVED

Since 2022-10-25
NJ RA
APPROVED

Since 2019-04-11

Branch Locations

222 Mt. Airy Rd. Suite 209, Basking Ridge, NJ 07920 • United States

Charleston, SC • 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
Morgan Stanley	New York	NY	04/2011	04/2019
Raymond James Financial Services, Inc.	Basking Ridge	NJ	04/2019	Present
Raymond James Financial Services Advisors, Inc.	Basking Ridge	NJ	04/2019	Present

04/2011 → 04/2019

Morgan Stanley

New York, NY
04/2019 → Present

Raymond James Financial Services, Inc.

Basking Ridge, NJ
04/2019 → Present

Raymond James Financial Services Advisors, Inc.

Basking Ridge, NJ

Previous Registrations

2011-06-23 → 2019-04-17

Morgan Stanley

Providence, RI

Short Hills, NJ

Other Businesses

(1)Name of Business: IronRidge Wealth Management Group Address: 222 Mount Airy Rd Ste 209, Basking Ridge, NJ, 07920, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 04/11/2019 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-06-22

S66 Uniform Combined State Law Examination

2011-06-22

View on SEC IAPD