Gregory Joseph Pennini

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 05/2012 → 09/2025
  Lpl Financial Llc
  Lexington, MA
• 08/2015 → 11/2018
  Carrthaxton Financial Group, Llc
  Lexington, MA
• 06/2024 → Present
  Carrthaxton Realty Trust, Llc
  Westford, MA
• 05/2012 → Present
  Carrthaxton Financial Group, Llc
  Westford, MA
• 11/2025 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 11/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2013-01-15 → 2025-11-24
  Lpl Financial Llc
  Westford, MA
• 2015-08-20 → 2018-11-01
  Carrthaxton Financial Group
  Lexington, MA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2012 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: CARRTHAXTON REALTY TRUST, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 06/2024 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ENTITY OWNS PROPERTY WHERE SALES BRANCH IS LOCATED 3. NAME OF OTHER BUSINESS: CARRTHAXTON FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2012 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: BROKER SERVICES MARKETING GROUP INVESTMENT RELATED: YES ADDRESS: 500 SOUTH MAIN STREET PROVIDENCE JOURNAL, RI 02903 NATURE OF BUSINESS: INSURANCE START DATE: 07/2010 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT

Exams

• S66 Uniform Combined State Law Examination
  2012-12-13
• S63 Uniform Securities Agent State Law Examination
  2009-04-03