linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Lucy Elizabeth Pesa

Baron Capital, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Lucy? Claim Your Profile

About Lucy Elizabeth Pesa

Lucy Elizabeth Pesa is an Investment Advisor Representative with Baron Capital, Inc., with over 17 years of experience in the financial industry. Lucy has a wide range of experience in the financial services industry and is registered with the Financial Industry Regulatory Authority (FINRA) as well as the securities divisions of 53 states. Lucy holds a Series 6, Series 7, Series 63, Series 65, and Series 6TO licenses. Lucy has previously worked with Foreside Fund Services, LLC in Evanston, Illinois and Lord Abbett Distributor LLC in Jersey City, New Jersey. Lucy is committed to helping clients achieve their financial goals.

Firm Information

Lucy Pesa is currently registered with Baron Capital, Inc.. Baron Capital, Inc. is a Corporation that was formed on March 16, 1982. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have been approved for registration with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

57

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Lucy Pesa’s Registration & Firm History

NY

05/11/2016 - Present

Baron Capital, Inc. (NEW YORK NY)

IL

04/11/2014 - 10/30/2015

FORESIDE FUND SERVICES, LLC (Evanston IL)

NJ

05/11/1999 - 01/02/2008

LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)

Not sure if Lucy Elizabeth Pesa is right for you?

Licenses & Designations

BC

Issued 04/25/2014

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 05/21/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2014

Series 7 - General Securities Representative Examination

BC

Issued 04/26/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lucy Elizabeth Pesa.
Not sure if Lucy Elizabeth Pesa is right for you?