AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JP

John W. Pena

Some features on this profile are disabled
CRD#: 2780628
JP

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

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2002 - November 30, 2007

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
MARGATE, FL
Past

November 27, 2001 - January 9, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

August 31, 2001 - November 26, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

January 2, 2001 - August 31, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

November 9, 2000 - December 21, 2000

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

October 14, 1996 - November 20, 2000

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2002
General Securities Principal Examination

Current Firm

TC
THE CONCORD EQUITY GROUP, LLC
CONCORD EQUITY GROUP ADVISORS LLC | THE CONCORD EQUITY GROUP, LLC | THE CONCORD EQUITY GROUP | LAESSIG INVESTMENT COMPANY

CRD#: 14569 / SEC#: , 8-35226

BD
Terminated by SEC on 10/13/2008
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 06/10/1975
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WASHINGTON ASSOCIATES 205 LLCPARENT COMPANY - BROKER-DEALER ONLY
DIOGUARDI, WILLIAM PAULCHAIRMAN1005567
MIN, SUNG SIKCFO/FINOP1025256

Disclosures

Regulatory Event5
Arbitration2
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

TRUST BUT VERIFY

Monitor John Pena

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.