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Detailed Report
Penny Ozella Andrews
PENNY OZELLA ANDREWS
CRD#: 4942168
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 210 IMI KALA ST STE 205
WAILUKU, HI 96793-1274
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2006 (<1 year)2 FIRMS2011 - 2013 (2 years)2 FIRMS2013 - 2017 (3 years)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - Present (1 year)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (1 year)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)2005 - 2006 (1 year)IAMORGAN STANLEY (CRD# 149777)2021 - 2021 (<1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2007 - 2009 (1 year)
License(s)

State Registrations

B
Arizona 12/12/2023
B
Nevada 12/8/2023
B
California 12/4/2023
B
Oregon 12/4/2023
B
Colorado 5/16/2024
IA
Texas 12/1/2023
B
Florida 12/4/2023
B
Texas 12/2/2023
B
Hawaii 12/6/2023
B
Washington 12/15/2023
IA
Hawaii 12/6/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
210 IMI KALA ST STE 205, WAILUKU, HI 96793-1274
Registered with this firm since 12/1/2023
B
EDWARD JONES (CRD#:250)
210 IMI KALA ST STE 205, WAILUKU, HI 96793-1274
Registered with this firm since 12/1/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/29/2021 - 12/15/2023 MORGAN STANLEY (CRD#:149777) KAHULUI, HI
B
 06/25/2021 - 12/15/2023 MORGAN STANLEY (CRD#:149777) KAHULUI, HI
IA
 06/25/2021 - 06/28/2021 MORGAN STANLEY (CRD#:149777) KAHULUI, HI
IA
 05/19/2017 - 06/28/2021 EDWARD JONES (CRD#:250) WAILUKU, HI
B
 05/19/2017 - 06/28/2021 EDWARD JONES (CRD#:250) WAILUKU, HI
IA
 11/25/2013 - 05/18/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HONOLULU, HI
B
 11/11/2013 - 05/18/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HONOLULU, HI
IA
 06/22/2011 - 03/07/2013 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
B
 03/04/2011 - 03/07/2013 MORGAN STANLEY (CRD#:149777) ATLANTA, GA
IA
 06/11/2007 - 01/06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PENSACOLA, FL
B
 01/15/2008 - 01/06/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PENSACOLA, FL
IA
 10/10/2006 - 11/29/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PENSACOLA, FL
B
 09/20/2006 - 11/29/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PENSACOLA, FL
B
 05/02/2005 - 06/30/2006 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) GULF BREEZE, FL
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.