David Scott Penn

Current Employers

Employment History

• 10/2014 → Present
  Raymond James Financial Services, Inc
  Brea, CA
• 10/2014 → Present
  Raymond James Financial Services Advisors Inc.
  Brea, CA

Previous Registrations

• 2008-12-10 → 2014-10-21
  Hilltop Securities Inc.
  Sherman Oaks, CA
• 2004-08-17 → 2008-12-31
  M.L. Stern & Co., Llc.
  Beverly Hills, CA
  Beverly Hills, CA
  Beverly Hills, CA

Other Businesses

(1)Name of Business: Address: 1 Civic Center Circle, Brea, CA, 92821, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 02/18/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Investment Advisory Committee, meetings held quarterly, works with city staff to provide input on the selection of City investments and to review the statement of Investment policy. (2)Name of Business: David S Penn, Inc. Address: 3 Pointe Dr Ste 104, Brea, CA, 92821-7623, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/01/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: President and Secretary of David S Penn, Inc. (S-Corp) as sole shareholder. DSP Inc assumed my 50% interest in PL Partners Inc. (S-Corp) DBA Penn Lee Partners. Penn Lee Partners was is and remains our independent affiliation with RJFS. My RJFS earnings are now direct deposited to DSP Inc. bank accounts. (3)Name of Business: Penn Lee Partners Address: 3 Pointe Dr Ste 104, Brea, CA, 92821, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 10/11/2014 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: insurance is an occasional aspect of our financial advisory practice, involving fixed annuities, immediate annuities, long term care or life insurance for income replacement or estate planning (4)Name of Business: Penn Wealth Management Address: 3 Pointe Dr Ste 104, Brea, CA, 92821-7623, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 09/01/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This will be my new DBA now that Penn Lee Partners is discontinued for branch AMW (5)Name of Business: PL Partners Inc DBA Penn Lee Partners Address: 3 Pointe Dr Ste 104, Brea, CA, 92821, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/10/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 50% owner; Advisor (6)Name of Business: The Burgh LLC Address: 502 Briarwood Dr, Brea, CA, 92821, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 03/31/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I intend to buy real estate in Pittsburgh in 50 / 50 partnership with a lifelong friend and client, for cash, no financing or borrowing involved

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-08-16
• S63 Uniform Securities Agent State Law Examination
  1998-12-08