Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan Pena is a financial professional with over 10 years of experience in the industry. Juan currently works as a Registered Representative for Clear Street LLC, a firm that is active in the Broker-Dealer space. Previously, Juan worked for Mirae Asset Securities (USA) Inc. and National Financial Services LLC, both of which were active in both the Broker-Dealer and Investment Advisor space. Juan holds the Series 7, Series 99, and SIE licenses.
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.
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.
1
2
NY
05/24/2022 - Present
Clear Street LLC (NEW YORK NY)
NY
06/11/2021 - 05/16/2022
MIRAE ASSET SECURITIES (USA) INC. (NEW YORK NY)
TX
09/04/2012 - 02/01/2021
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2015
Series 7 - General Securities Representative Examination
BC
Issued 08/31/2012
Series 99 - Operations Professional Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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