David Penn
David Penn is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Brea, CA, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Three Pointe Drive, Suite 104, Brea, CA, 92821
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Regulatory History
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 →Other Business ActivitiesSells Insurance
David is a finance/investment committee member for the city of Brea, and president/secretary of David S Penn, Inc. He also works with Penn Lee Partners, where insurance (fixed annuities, immediate annuities, long term care, or life insurance) is an occasional aspect of his financial advisory practice, and is a partner in The Burgh LLC, a rental real estate venture.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Southwest Securities, INC.
Southwest Securities, INC.Broker
M. L. Stern & CO, LLC.
M.L. Stern & CO., LLC.Broker
State Registrations27 states
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