Theodore A. Pena

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CRD#: 711574

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.

Theodore Angelo Pena, who also goes by Theodore A Pena, was a registered financial advisor .

Theodore is a previously registered financial advisor and started their career in finance in 1980. Theodore had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Theodore A 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 7, 2009 - July 22, 2009

U.S. FINANCIAL INVESTMENTS, INC.

CRD#: 120804

NEW YORK, NY

Past

October 31, 2006 - December 31, 2006

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

ORADELL, NJ

Past

November 20, 2001 - December 31, 2006

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

ORADELL, NJ

Past

January 4, 1999 - November 23, 2001

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 11, 1996 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 31, 1994 - December 13, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 31, 1989 - January 18, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

October 22, 1984 - January 18, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 1, 1982 - October 29, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 1, 1980 - February 26, 1982

DRESKIN & COMPANY INC.

CRD#: 4187

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/2/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/21/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1996

General Securities Principal Examination

Current Firm

U.S. FINANCIAL INVESTMENTS, INC.

U.S. FINANCIAL INVESTMENTS, INC. | US FINANCIAL INVESTMENTS CORP.

CRD#: 120804 / SEC#: , 8-65347

Terminated by SEC on 04/29/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

New Jersey since 07/25/2001

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AGARWAL, RAJESH	PRESIDENT	2083441
AGARWAL, RAJESH	CHIEF COMPLIANCE OFFICER	2083441
WU, JIPING	CHIEF FINANCIAL OFFICER	2177377
HING, RONALD JOHN	OPERATIONS PRINCIPLE, ROSFP	4580235
BELLINFANTE, RICHARD B	MUNICIPLE SECURITIES PRINCIPLE	815239

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Theodore A. Pena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

DRESKIN & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/1996

Series 63

Date: 12/7/1984

Series 5

Date: 12/11/1982

Series 7

Date: 6/21/1980

Series 24

Date: 5/29/1996

Current Firm

U.S. FINANCIAL INVESTMENTS, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

U.S. FINANCIAL INVESTMENTS, INC.

TRUST BUT VERIFY

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