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
RAYMOND PENZI
RAYMOND LEO PENZI, PENZI RAYMOND
CRD#: 5837723
IA
Investment Adviser
B
Broker
THE L. WARNER COMPANIES, INCCRD#: 108001 Huntington, NY
M HOLDINGS SECURITIES, INC.CRD#: 43285 Huntington, NY
Registration History
201020122014201620182020202220242026IATHE L. WARNER COMPANIES, INC (CRD# 108001)2024 - Present (<1 year)BM HOLDINGS SECURITIES, INC. (CRD# 43285)2013 - Present (12 years)BSIDOTI & COMPANY, LLC (CRD# 102860)2010 - 2011 (<1 year)BJOHN THOMAS FINANCIAL (CRD# 40982)2010 - 2010 (<1 year)
License(s)

State Registrations

B
Maryland 11/6/2018
IA
New York 11/26/2024
B
New York 3/15/2013

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
THE L. WARNER COMPANIES, INC (CRD#:108001)
Huntington, NY
Registered with this firm since 11/26/2024
B
M HOLDINGS SECURITIES, INC. (CRD#:43285)
Huntington, NY
Registered with this firm since 3/15/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/16/2010 - 07/27/2011 SIDOTI & COMPANY, LLC (CRD#:102860) NEW YORK, NY
B
 09/03/2010 - 11/08/2010 JOHN THOMAS FINANCIAL (CRD#:40982)
FINRA expelled the firm on 10/31/2013
NEW YORK, 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.