Penny Haataja is a registered investment advisor, based in Deerwood, MN, with 29 years of industry experience.
Location
21279 Archibald Road, Deerwood, MN, 56444
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
November 2023 - Present · 2 yrs 6 mos
Raymond James Financial Services, INC.Broker
November 2023 - Present · 2 yrs 6 mos
Raymond James Financial Services, INC.
November 2023 - Present · 2 yrs 6 mos
Previous Registrations
Raymond James & Associates, INC.Broker
June 2022 - May 2023 · 11 mos
Raymond James & Associates, INC.
June 2022 - May 2023 · 11 mos
UBS Financial Services INC.
February 2014 - June 2022 · 8 yrs 4 mos
UBS Financial Services INC.Broker
August 2006 - June 2022 · 15 yrs 10 mos
Piper Jaffray & CO.Broker
May 2006 - August 2006 · 3 mos
Wells Fargo Investments, LLC
May 2005 - May 2006 · 1 yr
Wells Fargo Investments, LLCBroker
May 2005 - May 2006 · 1 yr
Piper Jaffray & CO.Broker
August 2002 - May 2005 · 2 yrs 9 mos
American Enterprise Investment Services INC.Broker
March 1998 - November 2001 · 3 yrs 8 mos
Pruco Securities CorporationBroker
September 1996 - March 1998 · 1 yr 6 mos
Pruco Securities CorporationBroker
October 1990 - June 1992 · 1 yr 8 mos
The Prudential Insurance Company of AmericaBroker
October 1990 - June 1992 · 1 yr 8 mos
State Registrations2 states
MNTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.