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RW

Rex R. Wempen

PANTEK SECURITIES LLC
San Juan, PR 00907
Some features on this profile are disabled
CRD#: 3233889
RW

Professional summary

Rex Reiner Wempen is a registered financial professional currently at PANTEK SECURITIES LLC located in San Juan, .

Rex is registered as a RR (Registered Representative) and started their career in finance in 1999. Rex has worked at 2 firms and has passed the Series 63, Series 65, Series 82TO, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view Rex Reiner Wempen's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 10, 2023 - Present

PANTEK SECURITIES LLC

Office #1: 954 Ave Ponce De Leon, Suite #403b, San Juan, PR 00907
BD
CRD#: 302091
San Juan, PR
Past

June 16, 1999 - December 14, 2000

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
LOS ANGELES, CA

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
California
(3/13/2023)
RR
District of Columbia
(5/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/9/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 12/17/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 6/8/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PANTEK SECURITIES LLC
PANTEK PARTNERS ADVISORS LLC | PANTEK SECURITIES LLC | PANTEK PARTNERS ADVISORS, LLC.

CRD#: 302091 / SEC#: , 8-70345

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
954 Ave Ponce De Leon Suite #403b, San Juan, PR 00907
Mailing Address
954 Ave Ponce De Leon Suite #403, San Juan, PR 00907
Phone number
(858) 605-1607
Established
Puerto Rico since 02/14/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BELL, JOHN EDWARDPRESIDENT/CEO/CCO/MANAGING MEMBER4106566
AGERTON, DEBORAH LYNNFINOP/PFO/POO4460597

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

PANTEK SECURITIES LLC

CRD#: 302091San Juan, PR 00907

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