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NICHOLAS PENNA
CRD#: 5913363
IA
Investment Adviser
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Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 222 Mt. Airy Rd.
Suite 209
Basking Ridge, NJ 07920
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 222 Mt. Airy Rd.
Suite 209
Basking Ridge, NJ 07920
Registration History
201220142016201820202022202420262 FIRMS2011 - 2019 (7 years)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 4/11/2019

IA
New Jersey 4/11/2019

B
Colorado 1/5/2023

B
New York 4/11/2019

B
Connecticut 4/11/2019

B
North Carolina 3/19/2024

B
Florida 4/11/2019

B
Pennsylvania 4/11/2019

B
Georgia 6/17/2021

B
Rhode Island 4/11/2019

B
Kansas 4/11/2019

B
South Carolina 4/11/2019

B
Maine 4/11/2019

IA
South Carolina 10/25/2022

B
Massachusetts 4/11/2019

B
Tennessee 1/10/2022

B
New Hampshire 4/11/2019

B
Virginia 5/17/2019

B
New Jersey 4/11/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
222 Mt. Airy Rd. Suite 209, Basking Ridge, NJ 07920
Charleston, SC
Registered with this firm since 4/11/2019

IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
222 Mt. Airy Rd. Suite 209, Basking Ridge, NJ 07920
Charleston, SC
Registered with this firm since 4/11/2019

Previous Registration(s)
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IA
06/23/2011 - 04/17/2019 MORGAN STANLEY (CRD#:149777) SHORT HILLS, NJ
B
06/02/2011 - 04/17/2019 MORGAN STANLEY (CRD#:149777) SHORT HILLS, NJ
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B
Broker
IA
Investment Adviser
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.