Kirsy M. 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.
Kirsy Maria Pena was a registered financial professional .
Kirsy is a previously registered financial professional and started their career in finance in 2001. Kirsy had worked at 4 firms and has passed the Series 66 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
July 5, 2013 - August 9, 2013
WALNUT STREET SECURITIES, INC.
July 3, 2013 - August 9, 2013
WALNUT STREET SECURITIES, INC.
March 30, 2007 - July 12, 2011
VOYA FINANCIAL PARTNERS, LLC
March 29, 2007 - July 12, 2011
VOYA FINANCIAL PARTNERS, LLC
August 23, 2006 - February 27, 2007
EMPOWER FINANCIAL SERVICES, INC.
May 12, 2005 - April 10, 2006
VOYA FINANCIAL PARTNERS, LLC
May 12, 2005 - April 10, 2006
VOYA FINANCIAL PARTNERS, LLC
July 26, 2004 - January 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 28, 2004 - January 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2001 - January 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
