Nicole S. De Pena
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicole Suzanne De Pena, who also goes by Nicole Suzanne Auclair, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1998. Nicole had worked at 5 firms and has passed the Series 63, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2008 - January 2, 2013
LOOMIS SAYLES DISTRIBUTORS, L.P.
July 6, 2007 - June 9, 2008
THOMAS WEISEL PARTNERS LLC
June 27, 2002 - September 25, 2003
THOMAS WEISEL PARTNERS LLC
July 15, 1999 - June 25, 2002
CHARLES SCHWAB & CO., INC.
April 8, 1999 - July 2, 1999
GLEACHER & COMPANY SECURITIES, INC.
July 6, 1998 - March 8, 1999
NATIONAL CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 11
Date: 7/1/1998
Assistant Representative-Order Processing Qualification ExamCurrent Firm
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795 / SEC#: , 8-49575
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS SAYLES & COMPANY, L.P. | LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER | |
| KLOCEK, JOHN FRANCIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6256015 |
| LEGER, MAURICE PAUL | PRESIDENT | 4575004 |
| LOOMIS SAYLES DISTRIBUTORS, INC. | SOLE GENERAL PARTNER | |
| MCCARTHY, MARY | VP, SECRETARY | |
| O'CONNOR, OLGA A. | VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 7436902 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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