THE PENN INVESTMENT GROUP, INC.
CRD #38530 SEC #801-61892 AUSTIN, TX 512-477-3110
SEC Registered Broker-Dealer
Total AUM
$74M
Discretionary
$72.8M
Employees
10
Clients
0
Accounts
99
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Aug 9, 2004
- 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 |
|---|---|---|---|---|
| FORD, RONALD WILLIAM | I | VICE PRESIDENT, MUNI PRINCIPAL, DIRECTOR | NA | Control |
| FORD, RONALD WILLIAM | I | VICE PRESIDENT, MUNI PRINCIPAL, DIRECTOR | NA | Control |
| MILLER, JENNIFER ALLEN | I | FINOP/VP OPERATIONS | NA | Control |
| MILLER, JENNIFER ALLEN | I | FINOP/VP OPERATIONS | NA | Control |
| PENN, FRANK WALTER | I | PRESIDENT/ SROP/ CROP/ DIRECTOR | NA | Control |
| PENN, FRANK WALTER | I | PRESIDENT/ SROP/ CROP/ DIRECTOR | NA | Control |
| F. W. PENN & CO, INC. | DE | OWNER | E | Control |
| F. W. PENN & CO, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PENN, FRANK WALTER | I | F. W. PENN & CO., INC. | E | Control |
| PENN, FRANK WALTER | I | F. W. PENN & CO., INC. | E | Control |
Registrations
Federal
IA
Aug 9, 2004 REGISTERED
Notice Filings (1)
TX
Address
515 CONGRESS AVENUESUITE 1610
AUSTIN, TX 78701
USA
Phone: 512-477-3110