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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

SUSAN E PENNEY

Advisor at KOVACK ADVISORS, INC.

FT. LAUDERDALE, FL | OKLAHOMA CITY, OK

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Search this name across graphsid dfx:ria:c6fac88a-19db-3436-8517-ec681b095933

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2001 to Sep 14, 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: KOVACK 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: Feb 16, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 16, 1984
First registration: Jul 12, 2001
Dual registered: yes, broker-dealer
Other names: SUSAN ELIZABETH PENNEY|SUSAN E PENNEY
IAPD individual key: 1238195

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
KOVACK ADVISORS, INC.	Bd affiliated wealth	Nov 12, 2012	n/a	yes	OKLAHOMA CITY, OK\|FT. LAUDERDALE, FL	Current employment
WESTSIDE INVESTMENT MANAGEMENT, LLC	Independent wealth	Apr 12, 2011	Dec 6, 2012	no	OKLAHOMA CITY, OK\|OKLAHOMA CITY, OK	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Dec 22, 2010	no	EDMOND, OK\|EDMOND, OK	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jul 12, 2001	Jul 1, 2003	no	EDMOND, OK	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
WESTSIDE INVESTMENT MANAGEMENT, LLC	KOVACK ADVISORS, INC.	Dec 6, 2012	Nov 12, 2012	-24	Firm change	Other
WELLS FARGO ADVISORS	WESTSIDE INVESTMENT MANAGEMENT, LLC	Dec 22, 2010	Apr 12, 2011	111	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ KOVACK ADVISORS, INC.Registered adviserregistration: current employment
Nov 12, 2012 to presentfactForm ADV
→ WESTSIDE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 12, 2011 to Dec 6, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Dec 22, 2010factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jul 12, 2001 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.