..:: Penson ::.. - Investor Relations

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Anreder & Company
(PHONE) 212.532.3232

Gary Fishman
gary.fishman@anreder.com

Steven Anreder
steven.anreder@anreder.com

Continental Stock Transfer & Trust Co.
17 Battery Place
New York, NY 10004
(PHONE) (212) 509-4000 ext. 206
cstmail@continentalstock.com

Where can I get answers to questions about my account where Penson is the clearing firm?

All questions regarding your account should be directed to your registered representative, or to the customer service department of your brokerage firm.

How do I open an account with Penson?

Penson is a service provider for brokerage firms and does not open or carry accounts for individual investors. If you would like to open an account with a brokerage firm that partners with Penson, such firms can be identified through an Internet search.

When are Forms 1099 mailed?

Penson typically mails Forms 1099 no later than January 31^st.

How can I find the cost basis for shares in my account?

All questions regarding your account should be directed to your registered representative, or to the customer service department of your brokerage firm.

What does Penson do?

Through its subsidiaries, Penson is a leading independent execution, clearing, settlement and technology firm servicing the global financial services industry. We provide our services in equities, options and futures to correspondents and introducing brokers. We are best known for our ability to service customers specializing in high volume, professional and semi-professional clientele.

Who are Penson's customers?

Our customers include broker-dealers of all types, including traditional retail, online and direct market access. We also service broker-dealers trading on a proprietary basis, as well as those specializing in option trading. Additionally, we work with institutional clients, futures traders, hedge funds, algorithmic traders and financial technology firms. While the majority of our customers are located in the US, Canada, UK, and Asia, Penson is truly a global company with relationships covering the globe.

In how many countries does Penson service customers?

Penson provides services to customers in 40 countries.

What is Penson's market position?

Penson is the number one clearing broker in Canada, the number two clearing broker in the United Kingdom, and the number three clearing broker in the United States. In the US and UK we are also a top 35 Futures Commission Merchant.

What are Penson’s primary operating companies?

The Penson Worldwide, Inc. group of companies includes Penson Financial Services, Inc. (US clearing and execution for securities and options), Penson Financial Services Canada Inc. (Canadian clearing and execution for securities), Penson Financial Services Ltd. (UK clearing and execution for securities), Penson GHCO (US clearing and execution for futures), and Nexa Technologies, Inc. (front end trading systems, routing infrastructure and market data for equities, options and futures), among other companies.

What makes Penson a leading provider of clearing and execution services?

One: Penson offers a fully-integrated multi-asset, multi-market and multi-currency technology platform. We provide clearing, technology and related services for equities, options and futures to broker-dealers around the world.

Two: Penson is the largest independent firm in this specialty. Our focus is only on clearing and execution related services. We do not operate businesses such as investment banking or proprietary trading that could detract us from serving our customers.

Three: Penson takes pride in its flexibility and willingness to work with customers to develop solutions that are right for them and their clients. As a result, we are known for servicing traditional broker-dealers as well as some of the most innovative financial firms offering cutting-edge front-end trading technology.

When do Penson's fiscal quarters and year end?

Penson’s first three quarters end March 31, June 30, and September 30, respectively, and its fourth quarter and fiscal year ends December 31.

When was Penson founded and how did its gets its name?

Roger J. Engemoen, Jr., Daniel P. Son, and Philip A. Pendergraft, our Chairman, President and Chief Executive Officer, respectively, founded our business in 1995 and have built it to its current position. The name comes from the first three letters of Mr. PENdergraft and Mr. SON’s names--Penson.

Where is Penson’s headquarters?

Penson Worldwide, Inc.
1700 Pacific #1400
Dallas, TX 75201

Where are Penson's shares traded and what is the Company’s stock symbol?

The common stock currently trades on the NASDAQ Global Select Market under the symbol PNSN. It has been traded on NASDAQ since the initial public offering on May 16, 2006.

Does Penson pay a dividend?

We currently intend to retain any earnings to develop and expand our business and do not anticipate paying cash dividends in the foreseeable future.

What is Penson's CUSIP number?

CUSIP 709600100

How can I purchase Penson shares?

Penson shares can be purchased through a licensed broker. At this time, Penson does not offer a direct purchase program.

Who is Penson's Transfer Agent and Registrar?

Continental Stock Transfer & Trust Company
17 Battery Place
New York, NY 10004
212.509.4000 ext. 206

Who is Penson's independent registered public accounting firm?

BDO Seidman, LLP
Dallas, Texas

How do I replace a stock certificate?

If your stock certificate is lost, stolen, or destroyed, please notify Continental Stock Transfer & Trust at the address, telephone number or website noted above.

How do I transfer my shares, if I own them in certificate form, to a new owner?

Contact Continental Stock Transfer & Trust at the address, telephone number or website noted above.