Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RANDY MICHAEL PENKWITZ
RANOY MICHAEL PENKWITZ
CRD#: 2370943
IA
Investment Adviser
B
Broker
NEWEDGE ADVISORSCRD#: 171351 900 Crest View Drive
Suite 230
Hudson, WI 54016
LPL FINANCIAL LLCCRD#: 6413 900 CREST VIEW DR STE 230
HUDSON, WI 54016
Registration History
19952000200520102015202020252 FIRMS2003 - 2017 (14 years)IANEWEDGE ADVISORS (CRD# 171351)2018 - Present (7 years)BLPL FINANCIAL LLC (CRD# 6413)2017 - Present (7 years)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2000 - 2003 (2 years)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)2000 - 2002 (1 year)BWELLS FARGO BROKERAGE SERVICES... (CRD# 16100)1998 - 2000 (2 years)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)1995 - 1998 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1993 - 1995 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2017 - 2020 (2 years)
Disclosure(s)
View By:
8/21/2008
Customer Dispute
Denied
1/12/2004
Customer Dispute
Settled
8/26/2003
Customer Dispute
Denied
9/18/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/29/2017
B
Michigan 7/8/2021
B
Arkansas 12/20/2022
B
Minnesota 11/29/2017
B
California 11/29/2017
B
New York 11/29/2017
B
Colorado 3/23/2021
B
North Dakota 2/15/2021
B
Florida 11/30/2017
B
South Carolina 7/12/2021
B
Illinois 3/9/2021
B
Texas 6/4/2021
B
Iowa 11/29/2017
B
Virginia 11/29/2017
B
Kansas 2/19/2020
B
Washington 11/29/2017
B
Kentucky 5/2/2023
B
Wisconsin 11/29/2017
B
Louisiana 11/29/2017
IA
Wisconsin 2/23/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEWEDGE ADVISORS (CRD#:171351)
900 Crest View Drive Suite 230, Hudson, WI 54016
Registered with this firm since 2/23/2018
B
LPL FINANCIAL LLC (CRD#:6413)
900 CREST VIEW DR STE 230, HUDSON, WI 54016
1151 N CANTON STREET, PRESCOTT, WI 54021
Registered with this firm since 11/29/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/29/2017 - 10/06/2020 LPL FINANCIAL LLC (CRD#:6413) St Paul, MN
IA
 03/07/2003 - 12/06/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) HUDSON, WI
B
 03/07/2003 - 11/29/2017 INVESTMENT CENTERS OF AMERICA, INC. (CRD#:16443) HUDSON, WI
B
 12/13/2000 - 03/04/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 12/15/2000 - 08/12/2002 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
 01/16/1998 - 12/13/2000 WELLS FARGO BROKERAGE SERVICES, L.L.C. (CRD#:16100) MINNEAPOLIS, MN
B
 02/24/1995 - 01/23/1998 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) SAINT PAUL, MN
B
 07/19/1993 - 03/13/1995 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.