Felipe 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.
Felipe M Pena, who also goes by Felipe Maria Pena Sr, was a registered financial professional .
Felipe is a previously registered financial professional and started their career in finance in 2002. Felipe had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2017 - June 8, 2018
SW FINANCIAL
March 9, 2016 - June 27, 2017
HSBC SECURITIES (USA) INC.
October 1, 2012 - June 12, 2015
J.P. MORGAN SECURITIES LLC
December 17, 2003 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 28, 2003 - December 11, 2003
SIGNATOR INVESTORS, INC.
June 11, 2002 - January 27, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 11, 2002 - January 27, 2003
MSI FINANCIAL SERVICES, INC.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| 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.
