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Detailed Report
EMILY DAWN CUBA
EMILY DAWN PENNINGTON, EMILY PENNINGTON
CRD#: 5327604
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 405 N LAMAR BLVD
AUSTIN, TX 78703-5409
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 405 N LAMAR BLVD
AUSTIN, TX 78703-5409
Registration History
2008201020122014201620182020202220242026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2013 - Present (12 years)BNATIONAL FINANCIAL SERVICES LLC (CRD# 13041)2010 - 2013 (3 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2007 - 2010 (2 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2015 - 2018 (3 years)
License(s)

State Registrations

B
Arizona 5/15/2023
B
North Carolina 2/27/2024
B
Arkansas 1/6/2016
B
North Dakota 12/14/2022
B
California 1/6/2016
B
Oklahoma 1/12/2016
B
Colorado 1/6/2016
B
Tennessee 1/9/2024
B
Florida 7/10/2023
B
Texas 6/6/2013
B
Louisiana 1/6/2016
IA
Texas 7/13/2018
B
Nevada 7/10/2023
B
Utah 7/10/2023
B
New Mexico 1/6/2016
B
Virginia 9/29/2023
B
New York 7/10/2023

SRO Registrations

B
 FINRA
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
405 N LAMAR BLVD, AUSTIN, TX 78703-5409
Registered with this firm since 7/13/2018
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
405 N LAMAR BLVD, AUSTIN, TX 78703-5409
AUSTIN, TX
Registered with this firm since 3/22/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/28/2015 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) AUSTIN, TX
B
 03/12/2010 - 03/04/2013 NATIONAL FINANCIAL SERVICES LLC (CRD#:13041) WESTLAKE, TX
B
 07/26/2007 - 02/16/2010 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WESTLAKE, TX
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.