Individual Firm
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MICHAEL TODD PENNY
MICHAEL PENNY
CRD#: 4803098
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
TAMPA, FL 33602
TAMPA, FL 33602
View By:
4/17/2019
Customer Dispute
Denied
State Registrations
B
Arizona 2/19/2020
B
Nevada 7/26/2024
B
California 4/20/2012
B
New Jersey 2/1/2024
B
Colorado 10/17/2018
B
New York 4/20/2012
B
Connecticut 9/16/2019
B
North Carolina 11/1/2016
B
Florida 4/20/2012
B
Ohio 1/18/2018
IA
Florida 5/1/2012
B
Oklahoma 8/16/2024
B
Georgia 9/9/2020
B
Pennsylvania 5/2/2023
B
Idaho 5/7/2021
B
Puerto Rico 4/19/2023
B
Illinois 12/21/2018
B
South Carolina 4/26/2012
B
Indiana 8/17/2017
B
Tennessee 5/16/2023
B
Louisiana 1/31/2024
B
Texas 4/20/2012
B
Maryland 5/12/2020
IA
Texas 5/5/2012
B
Massachusetts 8/17/2020
B
Virginia 2/20/2013
B
Michigan 1/16/2018
B
Washington 2/27/2024
B
Minnesota 9/29/2023
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 5/1/2012
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Registered with this firm since 4/20/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/13/2007 - 04/23/2012 | TAMPA, FL | |
B | 07/20/2004 - 04/23/2012 | TAMPA, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.