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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 1996-06-17
  • TX RA
    APPROVED
    Since 1996-06-17

Branch Locations

11 Greenway Plz Ste 3000, Houston, TX 77046 • United States

Houston, TX • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Houston TX 11/1995 03/2020
Ameriprise Financial Services, Llc Houston TX 03/2020 Present
Other Businesses

Real Estate Ownership; Single Family; 809 Fairview, , College Station, TX, 77840; Not Investment-Related; 08/25/2021 / Single Family; 805 Welsh, , College Station, TX, 77840; Not Investment-Related; 08/25/2021. Business Ownership; TP Real Estate, LLC; ; Management of Advisory Practice; 11 Greenway Plaza, Ste 3000Houston, TX 77064, ,; ; 06/01/2007; 1 to 9 hours per month; / Roland Randolph Pennington Trust; silent partner; Family Limited Partnership; 835 Kuhlman RdHouston, TX 77024, ,; Not Investment-Related; 01/01/2005; 0 hours per month; 0 during trading hours / P & P Capital, LLC; n/a; Real Estate Rental; 835 Kuhlman RdHouston, TX 77024, ,; Not Investment-Related; 03/01/2011; 1 to 9 hours per month; 0 during trading hours / R. Pennington Investments L.P.; ; Property Rental; PO box 266724Houston, TX 77207, ,; ; 09/17/2012; 0 hours per month; / TPKV Financial, LLC; ; Management of Advisory Practice; 11 Greenway Plaza, Ste 3000Houston, TX 77046, ,; ; 04/01/2004; 1 to 9 hours per month; / D. Pennington Investments, LLC; n/a; General Partner to R. Pennington Investments, LP; 835 Kuhlman RdHouston, TX 77024, ,; Not Investment-Related; 09/17/2012; 0 hours per month; 0 during trading hours / Roland Pennington Family Trust; silent partnerThis trust was first reported in 2005 and was mistakenly overridden when Process Systems & Controls was added. This most recent entry is a duplicate of the entry mistakenly removed.; Family Limited Partnership; 835 Kuhlman RdHouston, TX 77024, ,; Not Investment-Related; 01/01/2005; 0 hours per month; 0 during trading hours / Process Systems & Controls, LLP; silent partnerNote - This business venture was preapproved by Private Placement Preclearance on 10/22/18 and was disclosed immediately mistakenly under the Roland Pennington Family Trust. This entry was added to split the business out of the trust entry but the actual reporting date was 10/24/2018.; purchase and resale of energy equipment; 835 Kuhlman RdHouston, TX 77024, ,; Not Investment-Related; 10/24/2018; 0 hours per month; 0 during trading hours / P Squared Interest, LLC; none; invest in private companies; 835 Kuhlman Rd., , Houston, TX, 77024; Not Investment-Related; 12/01/2020; 1 to 9 hours per month; 0 during trading hours. Board of Directors; myLIFEspeaks; Board of Directors member; PO Box 100972 Nashville, TX 37224, ,; ; 09/01/2015; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-03-27
  • S63 Uniform Securities Agent State Law Examination
    1996-03-27
Other Names
  • Darrell Pennington

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