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Laurence Penn

Vice Chairman and COO at Ellington Management Group

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Laurence Penn is Vice Chairman and COO of Ellington Management Group, L.L.C., a Old Greenwich investment adviser managing $20.8B. Laurence Penn has a current broker registration and no current investment-adviser registration and has passed the Series 7 and Series 3.

Role at Ellington Management Group

Title on Schedule A
Vice Chairman and COO
Control
Laurence Penn is a control person of Ellington Management Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
Laurence Penn has held the filed role since August 1995.

The firm

Ellington Management Group, L.L.C.
Old Greenwich, CT

Form ADV filed 14 August 2026

$20.8B AUM33 clients68 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 3 · 1995
  2. Passed Series 7 · 1993

Registrations and exams

Broker registration; no current adviser registration. Laurence Penn has passed 2 qualifying exams.

Examinations

Series 38 August 1995
Name
National Commodity Futures Examination
Series 711 January 1993
Name
General Securities Representative Examination

Individual record

Full name
Laurence Eric Penn
CRD
1914867
Firm
Ellington Management Group, L.L.C.
Registration status
Broker registration; no current adviser registration
Firm bio
ellington.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Ellington’s biography identifies Laurence Penn as Founding Partner, Vice Chairman and Chief Operating Officer. Official firm biography or team page

Common questions

Where does Laurence Penn work?

Laurence Penn has been Vice Chairman and COO of Ellington Management Group, L.L.C. since August 1995, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 August 2026

Does Laurence Penn have a current investment-adviser registration?

Laurence Penn has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Laurence Penn passed?

Laurence Penn has passed 2 licensing exams: the Series 7 and Series 3. The earliest, the Series 7, was passed in January 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ellington Management Group

Sources

  1. IAPD individual record, CRD 1914867. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ellington Management Group, L.L.C., filed 14 August 2026. Title, control and ownership bands.
  3. Ellington Management Group team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Laurence Penn or Ellington Management Group, L.L.C. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.