LP
Lucy E. Pesa
BARON CAPITAL
New York, NY 10153
Some features on this profile are disabled
CRD#: 3190842
LP
Professional summary
Lucy Elizabeth Pesa is a registered financial professional currently at BARON CAPITAL, INC. located in New York, New York.
Lucy is registered as a RR (Registered Representative) and started their career in finance in 1999. Lucy has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Lucy Elizabeth Pesa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 11, 2016 - Present
BARON CAPITAL, INC.
Office #1: 767 Fifth Avenue 49th Floor, New York, NY 10153BD
CRD#: 10538
New York, NY
Past
April 11, 2014 - October 30, 2015
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Evanston, IL
Past
May 27, 2003 - January 2, 2008
LORD, ABBETT & CO. LLC
RIA
CRD#: 110391
JERSEY CITY, NJ
Past
May 11, 1999 - January 2, 2008
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/11/2016)
RR
Alaska(5/11/2016)
RR
Arizona(5/11/2016)
RR
Arkansas(5/11/2016)
RR
California(5/11/2016)
RR
Colorado(5/11/2016)
RR
Connecticut(5/11/2016)
RR
Delaware(5/11/2016)
RR
District of Columbia(5/11/2016)
RR
Florida(5/11/2016)
RR
Georgia(5/11/2016)
RR
Hawaii(5/11/2016)
RR
Idaho(5/11/2016)
RR
Illinois(5/11/2016)
RR
Indiana(5/11/2016)
RR
Iowa(5/11/2016)
RR
Kansas(5/11/2016)
RR
Kentucky(5/11/2016)
RR
Louisiana(5/11/2016)
RR
Maine(5/11/2016)
RR
Maryland(5/11/2016)
RR
Massachusetts(5/11/2016)
RR
Michigan(5/11/2016)
RR
Minnesota(5/11/2016)
RR
Mississippi(5/11/2016)
RR
Missouri(5/11/2016)
RR
Montana(5/11/2016)
RR
Nebraska(5/11/2016)
RR
Nevada(5/11/2016)
RR
New Hampshire(5/11/2016)
RR
New Jersey(5/11/2016)
RR
New Mexico(5/11/2016)
RR
New York(5/11/2016)
RR
North Carolina(5/13/2016)
RR
North Dakota(5/11/2016)
RR
Ohio(5/11/2016)
RR
Oklahoma(5/11/2016)
RR
Oregon(5/11/2016)
RR
Pennsylvania(5/11/2016)
RR
Puerto Rico(5/11/2016)
RR
Rhode Island(5/11/2016)
RR
South Carolina(5/11/2016)
RR
South Dakota(5/11/2016)
RR
Tennessee(5/11/2016)
RR
Texas(5/11/2016)
RR
Utah(5/11/2016)
RR
Vermont(5/11/2016)
RR
Virgin Islands(5/11/2016)
RR
Virginia(5/11/2016)
RR
Washington(5/11/2016)
RR
West Virginia(5/11/2016)
RR
Wisconsin(5/11/2016)
RR
Wyoming(5/11/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BARON CAPITAL, INC.
BARON CAPITAL, INC. | BARON CAPITAL, INC. (NY)
CRD#: 10538 / SEC#: , 8-27533
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Mailing Address
767 Fifth Avenue 48th Floor, New York, NY 10153
Phone number
(212) 583-2000
Established
New York since 03/16/1982
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARON CAPITAL GROUP, INC. | SHAREHOLDER | |
| BARON, RONALD STEPHEN | DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 13187 |
| BALTOVSKI, ALEXANDER | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2350828 |
| BARON, DAVID ROBERT | DIRECTOR | 3245808 |
| BARON, MICHAEL R. | DIRECTOR | 4393612 |
| BEASLEY, LOUIS BARRETT | CHIEF COMPLIANCE OFFICER | 3156061 |
| GREENBERG, CLIFFORD | DIRECTOR AND SENIOR VICE PRESIDENT | 2292041 |
| NAGLER, ANITA MARIE | DIRECTOR | 2503631 |
| PATALINO, PATRICK MICHAEL | SVP, CHIEF OPERATING OFFICER | 4481185 |
| PECK, ANDREW JOSHUA | DIRECTOR AND SENIOR VICE PRESIDENT | 5348729 |
| ROBBINS, SUSAN JAN | DIRECTOR AND VICE PRESIDENT | 840688 |
| TREGLIA, KRISTINE F | VP, CHIEF LEGAL OFFICER | 6384500 |
Disclosures
| Regulatory Event | 8 |
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.
