Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rory? Claim Your ProfileRory Pena O'Connor is a registered representative of J.P. Morgan Securities LLC and a licensed investment advisor representative in California and Texas. Rory has been in the financial industry since 2012 and has a diverse range of experience with various financial products and services, including investment advisory, portfolio management, and financial planning. Rory has worked with both individuals and businesses, providing customized solutions to meet their unique financial needs. Rory is committed to providing clients with comprehensive financial guidance and personalized attention.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/08/2022 - Present
J.p. Morgan Securities LLC (San Francisco CA)
CA
03/28/2017 - 07/27/2022
CITI PRIVATE ADVISORY, LLC (San Francisco CA)
CA
07/14/2014 - 07/27/2022
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
TX
11/12/2012 - 07/14/2014
WESTPORT RESOURCES INVESTMENT SERVICES, INC. (FT. WORTH TX)
IA
Issued 10/31/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/09/2012
Series 11 - Assistant Representative-Order Processing Qualification Exam
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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