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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Penny Rae Haataja

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Deerwood, MN | Minneapolis, MN | San Antonio, TX

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Search this name across graphsid dfx:ria:3c25942d-a176-a997-2ff6-17062df84766

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 4, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 6, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: May 6, 1998
First registration: May 4, 2005
Dual registered: yes, broker-dealer
Other names: PENNY RAE KARPPINEN
IAPD individual key: 2082315

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Nov 6, 2023	n/a	yes	Deerwood, MN\|Minneapolis, MN\|San Antonio, TX	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jun 29, 2022	May 24, 2023	no	Weslaco, TX\|ST. PETERSBURG, FL\|Minneapolis, MN\|Crystal, MN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 4, 2014	Jun 27, 2022	no	BLOOMINGTON, MN	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	May 4, 2005	May 9, 2006	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 24, 2023	Nov 6, 2023	166	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	RAYMOND JAMES & ASSOCIATES, INC.	Jun 27, 2022	Jun 29, 2022	2	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	UBS FINANCIAL SERVICES INC.	May 9, 2006	Feb 4, 2014	2,828	Firm change after gap	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Nov 6, 2023 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jun 29, 2022 to May 24, 2023factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 4, 2014 to Jun 27, 2022factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
May 4, 2005 to May 9, 2006factForm ADV

Dated events

Occurred
May 24, 2023
Advisor changed firm
Penny Rae Haataja left Raymond James & Associates, Inc. for Raymond James Financial Services Advisors, Inc (registered 2023-11-06)
Form ADVobserved 5 days ago
Occurred
Jun 27, 2022
Advisor changed firm
Penny Rae Haataja left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2022-06-29)
Form ADVobserved 5 days ago