Patricia C. Penuela
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.
Patricia C Penuela was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2017. Patricia had worked at 9 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2018 - July 2, 2018
FMX EXECUTION, LLC
May 10, 2018 - July 2, 2018
SUNRISE BROKERS LLC
May 10, 2018 - July 2, 2018
MINT BROKERS
May 10, 2018 - July 2, 2018
GFI SECURITIES LLC
May 10, 2018 - July 2, 2018
CFWP SECURITIES, LLC
May 10, 2018 - July 2, 2018
CF SECURED, LLC
May 10, 2018 - July 2, 2018
BGC FINANCIAL, L.P.
May 10, 2018 - July 2, 2018
AQUA SECURITIES L.P.
November 15, 2017 - July 2, 2018
CANTOR FITZGERALD & CO.
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
FMX EXECUTION, LLC
CRD#: 154075 / SEC#: , 8-68606
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENICS MARKETS XCHANGE, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| RINALDO, MARK J | CHIEF OPERATING OFFICER | 4824739 |
| SCOTTO, LOUIS JAMES | CHIEF EXECUTIVE OFFICER | 1483052 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
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.
