PENE STEPHAN ROBERT appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. PENE STEPHAN ROBERT appears on 6 filing roles across Form ADV (6).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | WINDWARD CAPITAL MANAGEMENT CO | CHIEF COMPLIANCE OFFICER, CFO | LOS ANGELES, CA |
| — | Form ADV | IFC HOLDINGS, INC. | VP/CONTROLLER/FINOP | TAMPA, FL |
| — | Form ADV | NATIONAL PLANNING CORPORATION | VICE PRESIDENT CONTROLLER | EL SEGUNDO, CA |
| — | Form ADV | INVESTMENT CENTERS OF AMERICA, INC. | FINOP | APPLETON, WI |
| — | Form ADV | SII INVESTMENTS, INC. | FINOP | APPLETON, WI |
| — | Form ADV | WELLS FARGO SECURITIES, LLC. | CONTROLLER | SAN FRANCISCO, CA |