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JP

Joel A. Pena

FORESIDE FUND SERVICES
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 4472142
JP

Professional summary

Joel Arias Pena is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2002. Joel has worked at 5 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3, Series 7, Series 55 and Series 24 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 Joel Arias Pena'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

December 22, 2017 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071
BD
CRD#: 46106
Los Angeles, CA
Past

June 30, 2016 - December 20, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Miami, FL
Past

June 19, 2014 - June 30, 2016

BOSTON PARTNERS SECURITIES, L.L.C.

BD
CRD#: 2998
BOSTON, MA
Past

February 14, 2011 - May 19, 2014

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

September 19, 2008 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

October 18, 2002 - July 18, 2005

BBVA INVESTMENTS INC.

BD
CRD#: 31769
HOUSTON, TX

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
Arizona
(1/2/2018)
RR
California
(12/22/2017)
RR
Connecticut
(1/2/2018)
RR
Delaware
(1/2/2018)
RR
Florida
(1/2/2018)
RR
Maryland
(1/2/2018)
RR
Massachusetts
(1/2/2018)
RR
Missouri
(1/2/2018)
RR
New Jersey
(1/2/2018)
RR
New York
(12/22/2017)
RR
Puerto Rico
(12/22/2017)
RR
Texas
(1/2/2018)
RR
Virgin Islands
(1/2/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/30/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/2/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/2/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/14/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 10/22/2002
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106Los Angeles, CA 90071

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