Individual Firm
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TRAVIS Jordan PENFIELD
TRAVIS PENFIELD
CRD#: 6104530
IA
B
49 FINANCIALCRD#: 319484 3711 S MOPAC EXPY
SUITE 150
AUSTIN, TX 78746
SUITE 150
AUSTIN, TX 78746
OAKWOOD CAPITAL SECURITIES, INC.CRD#: 21000 3711 S Mopac Expressway
Suite 150
Austin, TX 78746
Suite 150
Austin, TX 78746
View By:
10/16/2019
Employment Separation After Allegations
State Registrations
B
Arizona 1/11/2024
B
Nebraska 1/11/2024
B
Arkansas 1/29/2024
B
New Jersey 1/11/2024
B
California 1/11/2024
B
New York 1/11/2024
B
Colorado 1/11/2024
B
Oklahoma 1/11/2024
B
Florida 1/11/2024
B
Oregon 1/11/2024
B
Georgia 1/11/2024
B
Pennsylvania 1/11/2024
B
Illinois 1/11/2024
IA
Texas 1/4/2023
B
Indiana 1/11/2024
B
Texas 1/11/2024
B
Massachusetts 1/11/2024
B
Virginia 1/11/2024
B
Minnesota 1/11/2024
B
Washington 1/11/2024
B
Missouri 1/11/2024
B
Wyoming 1/11/2024
SRO Registrations
B
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IA
Registered with this firm since 1/4/2023
B
Registered with this firm since 1/11/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/23/2019 - 01/17/2024 | Austin, TX | |
IA | 06/30/2020 - 12/31/2022 | Austin, TX | |
IA | 01/02/2020 - 07/02/2020 | ALBANY, NY | |
IA | 11/22/2019 - 11/24/2019 | ALBANY, NY | |
IA | 11/16/2012 - 11/15/2019 | AUSTIN, TX | |
B | 09/11/2012 - 11/15/2019 | AUSTIN, TX |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.