Guy Penn has been CCO of Core Planning since July 2010, is a control person of the firm and directly owns 75% or more of it.
Core Planning, LLC is an Ofallon, MO firm with $525M under management, 867 clients and 61 advisers in one office, as of its September 2026 filing.
Guy Penn is founder of Core Planning, LLC. In a founder's letter on the firm's site he describes starting the firm with the idea that work should feel more human, and wanting a place where advisers have room to think and can give advice without a corporate agenda. He writes that the firm has grown beyond anything first imagined and is being built together with the people there.
Guy Penn’s longest registration is the current one, 16 years at Core Planning since 2010.
- Rush Penn, LLC.– · 3 yearsSt.lous, MO · Adviser representative · Firm CRD 175093
Investment adviser representative registrations
Guy Penn is registered as an investment adviser representative in 3 states. The first approvals date from September 2010; the most recent is California, in April 2023.
- CaliforniaSince 20 April 2023
- IllinoisSince 29 March 2023
- MissouriSince 2 September 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 15 July 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 March 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 January 2007 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Guy Michael Penn
- CRD
- 5267938
- Firm
- Core Planning · CRD 154660
- Role
- CCO
- Office
- Ofallon, MO
- Registration
- Investment adviser registration
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- corepln.com
Where does Guy Penn work?
Guy Penn has been CCO of Core Planning, LLC since July 2010, and is a control person of the firm.
Is Guy Penn a financial advisor?
Yes. Guy Penn has a current investment-adviser registration in California, Illinois and Missouri, through Core Planning since September 2010.
How many years of experience does Guy Penn have?
Guy Penn has 16 years in the financial industry, since September 2010, across 2 adviser firms.
What exams has Guy Penn passed?
Guy Penn has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in January 2007.
Where is Guy Penn based?
Guy Penn’s registered office is in Ofallon, MO.
Is Guy Penn registered with FINRA?
No. Guy Penn has no current broker registration.
How can I verify Guy Penn’s record?
Search CRD 5267938 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Guy Penn’s full registration record.