Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cesar? Claim Your ProfileCesar Pena is an active investment advisor representative and general securities representative. Cesar has been in the industry since 2001 and has a broad range of experience with various financial institutions, including Fidelity Brokerage Services LLC, CUSO Financial Services, L.P., and most recently, Northern Trust Securities, Inc. Cesar holds Series 6, 7, 63, and 65 licenses as well as the SIE exam. Cesar is a Certified Financial Planner and holds specializations in retirement planning, mutual funds, investment advisory services, and various other investment products.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
05/24/2024 - Present
Northern Trust Securities, Inc. (Barrington IL)
IL
04/21/2017 - 05/16/2024
FIDELITY BROKERAGE SERVICES LLC (SCHAUMBURG IL)
IL
06/02/2014 - 03/24/2017
CUSO FINANCIAL SERVICES, L.P. (VERNON HILLS IL)
IL
01/23/2001 - 05/27/2014
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
IL
01/18/2011 - 09/30/2011
VISION INVESTMENT SERVICES, INC. (CHICAGO IL)
IL
11/03/2009 - 12/31/2010
VISION INVESTMENT SERVICES, INC. (CHICAGO IL)
IA
Issued 06/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/22/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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