Penny Rae Haataja

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:

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

Current Employers

Employment History

• 08/2006 → 06/2022
  Ubs Financial Services Inc.
  Bloomington, MN
• 06/2022 → 05/2023
  Raymond James & Associates, Inc.
  Crystal, MN
• 05/2023 → 11/2023
  Unemployed
  Minneapolis, MN
• 11/2023 → Present
  Raymond James Financial Services, Inc.
  Deerwood, MN
• 11/2023 → Present
  Raymond James Financial Services Advisors, Inc.
  Deerwood, MN

Previous Registrations

• 2022-06-29 → 2023-05-24
  Raymond James & Associates, Inc.
  Weslaco, TX
  St. Petersburg, FL
  Minneapolis, MN
  Crystal, MN
• 2014-02-04 → 2022-06-27
  Ubs Financial Services Inc.
  Bloomington, MN
• 2005-05-04 → 2006-05-09
  Wells Fargo Investments, Llc
  Minneapolis, MN
  Minneapolis, MN

Other Businesses

(1)Name of Business: Ronald J. Bardine, Inc. Address: 6917 Valley Pl N, Crystal, MN, 55427, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/06/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Administrative duties for Ron Bardine, RJFS Financial Advisor

Exams

• S66 Uniform Combined State Law Examination
  2003-07-01
• S63 Uniform Securities Agent State Law Examination
  1998-05-06

Other Names

• Penny Rae Karppinen