Jose M. Baez
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.
Jose Miguel Baez was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2001. Jose had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 72, Series 55, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2019 - September 16, 2020
PENSERRA SECURITIES, LLC
May 10, 2019 - August 10, 2020
ROSENBLATT SECURITIES INC.
June 1, 2004 - April 2, 2007
ROSENBLATT SECURITIES INC.
December 20, 2001 - August 12, 2002
ROSENBLATT SECURITIES 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
Series 7TO
Date: 5/10/2019
General Securities Representative ExaminationSeries 72
Date: 3/20/2006
Government Securities Representative ExaminationSeries 55
Date: 6/29/2005
Limited Representative-Equity Trader ExamCurrent Firm
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
