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Detailed Report
ANDREW THOMAS PENKE
Andy Penke
CRD#: 6122360
IA
Investment Adviser
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Previous Broker
CWM, LLCCRD#: 155344 14600 BRANCH ST.
OMAHA, NE 68154
Registration History
201620172018201920202021202220232024202520262 FIRMS2017 - 2022 (5 years)2 FIRMS2022 - 2022 (<1 year)IACWM, LLC (CRD# 155344)2022 - Present (2 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - 2024 (2 years)BTD AMERITRADE, INC. (CRD# 7870)2016 - 2022 (5 years)
License(s)

State Registrations

IA
Nebraska 7/1/2022
Current Registration(s)
IA
CWM, LLC (CRD#:155344)
14600 BRANCH ST., OMAHA, NE 68154
Registered with this firm since 7/1/2022
Previous Registration(s)
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 06/17/2022 - 10/29/2024 CETERA ADVISOR NETWORKS LLC (CRD#:13572) OMAHA, NE
IA
 02/04/2022 - 06/15/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Omaha, NE
IA
 01/31/2017 - 06/15/2022 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Omaha, NE
IA
 01/31/2017 - 06/15/2022 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
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 01/26/2022 - 06/15/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Omaha, NE
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 12/21/2016 - 06/15/2022 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.