Francisco J. Pena
Professional summary
Francisco Javier Pena is a registered financial professional currently at STUART FRANKEL & CO., INCORPORATED located in Great Neck, New York.
Francisco is registered as a RR (Registered Representative) and started their career in finance in 2000. Francisco has worked at 1 firm and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francisco Javier Pena's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 11, 2000 - Present
STUART FRANKEL & CO., INCORPORATED
Office #1: 60 Cutter Mill Road Suite 210, Great Neck, NY 11021State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2009)
(12/12/2008)
(12/12/2008)
(2/2/2009)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/17/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 6/19/2003
NYSE Trading Assistant ExaminationFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
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