John W. Pena
Professional summary
John William Pena was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, John had worked at 6 firms, which includes THE CONCORD EQUITY GROUP LLC, SANDS BROTHERS & CO. LTD., BLUESTONE CAPITAL CORP., SSI SECURITIES CORP., STERLING FINANCIAL INVESTMENT GROUP INC., JOSEPH CHARLES & ASSOC. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2002 - November 30, 2007
THE CONCORD EQUITY GROUP, LLC
November 27, 2001 - January 9, 2002
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 2, 2001 - August 31, 2001
SSI SECURITIES CORP.
November 9, 2000 - December 21, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 14, 1996 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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