PENNIALL & ASSOCIATES, INC.
CRD #121336 SEC #801-61309 PASADENA, CA 626-795-3062
SEC Registered
Total AUM
$230M
Discretionary
$0
Employees
10
Clients
25
Accounts
752
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 19, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| WALTERS, ELIZABETH, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, ANNE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, M. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, M. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, M. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WALTERS, ELIZABETH, M. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
| PENNIALL, DAVID, RICKARD | I | OWNER/PRESIDENT | E | Control |
Registrations
Federal
IA
Apr 19, 2007 REGISTERED
Notice Filings (6)
AZ CA NH NY OR TX
Address
257 SOUTH FAIR OAKS, #200PASADENA, CA 91105
USA
Phone: 626-795-3062