Alan C. Peng
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.
Alan C Peng was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2006. Alan had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2013 - October 11, 2016
NOMURA GREENTECH CAPITAL ADVISORS, LLC
August 23, 2006 - July 12, 2011
UBS SECURITIES LLC
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
Current Firm
NOMURA GREENTECH CAPITAL ADVISORS, LLC
CRD#: 149644 / SEC#: , 8-68158
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOMURA HOLDINGS INC | PARENT COMPANY | |
| DELPUERTO, FERNANDO JAVIER | CHIEF COMPLIANCE OFFICER | 3168661 |
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.
