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PP

Peter J. Pena

INTELLIGENT CROSS LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 6847261
PP

Professional summary

Peter Jonathan Pena, who also goes by Pete Pena, is a registered financial professional currently at INTELLIGENT CROSS LLC located in Stamford, Connecticut.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2018. Peter has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pete Pena

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 Peter Jonathan Pena's 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

January 17, 2018 - Present

INTELLIGENT CROSS LLC

Office #1: Soundview Plaza 1266 E Main Street, Suite 700r, Stamford, CT 06902
BD
CRD#: 288946
Stamford, CT

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
Connecticut
(3/7/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INTELLIGENT CROSS LLC
INTELLIGENT CROSS LLC | XIMPACT CROSS, LLC

CRD#: 288946 / SEC#: , 8-69970

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

Main Address
Soundview Plaza 1266 E Main Street, Suite 700r, Stamford, CT 06902
Mailing Address
Soundview Plaza 1266 E Main Street, Suite 700r, Stamford, CT 06902
Phone number
(212) 621-9640
Established
Delaware since 11/16/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IMPERATIVE EXECUTION INC.SOLE MEMBER
CROSS, ANNAFINANCIAL AND OPERATIONS PRINCIPAL5894013
KURSMAN, SCOTT CHARLESCHIEF COMPLIANCE OFFICER2590327
PALAZZO, JOHN MICHAELCEO, CO-COO1362228
PENA, PETER JONATHANHEAD OF TRADING OPERATIONS6847261

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

INTELLIGENT CROSS LLC

CRD#: 288946Stamford, CT 06902

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