Leonard Prestwich Penrod

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

• 02/1982 → Present
  Penrod & Associates
  Salt Lake City, UT
• 01/1983 → Present
  Self Employed
  Salt Lake, UT
• 01/1983 → Present
  Penrod & Associates
  Salt Lake City, UT
• 03/1986 → Present
  Self Employed
  Salt Lake, UT
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-07-14 → 2013-09-03
  Walnut Street Securities, Inc.
  Greenwood Village, CO
  Salt Lake City, UT
• 2001-01-01 → 2006-11-02
  Walnut Street Advisers Inc
  Greenwood Village, CO
  Salt Lake City, UT

Other Businesses

1. INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, BEGAN 02/1981, 10HRS/WKDY ONLY; 2. CPA, PROVIDING ACCOUNTING SERVICES, IN SALT LAKE CITY, UT, FOR 2 WKDY HRS/WK, SINCE 8/2011; 3. Penrod & Associates, Investment Related, Same as Registered Address, DBA Name for Securities & Insurance Sales, Start 1999, 40hrs/wk (32.5 trading hours), Owner, Registered Representative;

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-03-13
• S63 Uniform Securities Agent State Law Examination
  1986-02-21

Designations

• Certified Financial Planner

Other Names

• Leo Penrod