Raymond Penzi
Raymond Penzi is a CFP, ChFC-designated registered investment advisor at The L. Warner Companies, INC, based in Huntington, NY, with 14 years of industry experience. Raymond is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Education Planning, Estate Planning, and 5 more. Their firm serves 465 clients with $800M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Maximum annual fee is 1.5% of assets under management and is negotiable. Flat fees or tiered schedules may also be used by agreement.
Fee Estimator
Location
Huntington, NY
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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
Raymond is the Vice President - Private Client at The L. Warner Companies, Inc. since 2018, focusing on investment and insurance-related member firm activities, which takes more than full-time hours.
Employment History
Current Registrations
The L. Warner Companies, INC
M Holdings Securities, INC.
M Holdings Securities, INC.Broker
Previous Registrations
Sidoti & Company, LLCBroker
John Thomas FinancialBroker
State Registrations7 states
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
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