Osvaldo 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.
Osvaldo Pena, who also goes by Osvaldo Anthony Pena, Oz Pena, was a registered financial professional .
Osvaldo is a previously registered financial professional and started their career in finance in 1999. Osvaldo had worked at 12 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2015 - February 18, 2016
NYLIFE SECURITIES LLC
June 6, 2014 - June 26, 2014
G-2 TRADING,LLC
March 8, 2010 - June 1, 2012
BANIF SECURITIES INC
March 9, 2009 - March 4, 2010
FAGENSON & CO., INC.
February 26, 2009 - March 9, 2010
GILT-EDGED EQUITIES, LLC
February 24, 2009 - March 3, 2010
BEACONS STRATEGIC CAPITAL, INC.
October 7, 2004 - August 31, 2007
LABRANCHE FINANCIAL SERVICES, LLC
October 16, 2003 - February 26, 2009
PARIS SECURITIES CORPORATION
November 20, 2002 - October 15, 2003
LABRANCHE FINANCIAL SERVICES, LLC
July 30, 2002 - October 15, 2003
BAY CREST PARTNERS, LLC
January 15, 2002 - January 13, 2003
NORTHPORT SECURITIES INC.
April 30, 2001 - January 14, 2002
ABN AMRO SECURITIES LLC
July 23, 1999 - April 30, 2001
ABN AMRO INCORPORATED
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 25
Date: 11/7/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 9/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
