Carlos J. Penikis

LEERINK PARTNERS LLC

NEW YORK, NY 10019

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CRD#: 7631328

Professional summary

Carlos Jin-yep Penikis, who also goes by Carlos Jin-yep Penikis, is a registered financial professional currently at LEERINK PARTNERS LLC located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2022. Carlos has worked at 3 firms and has passed the Series 63, Series 7TO, Series 87 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos Jin-Yep Penikis

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 Carlos Jin-yep Penikis'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

July 12, 2024 - Present

LEERINK PARTNERS LLC

Office #1: 1301 Avenue Of The Americas 5th Floor, New York, NY 10019

CRD#: 39011

NEW YORK, NY

Past

September 29, 2023 - July 16, 2024

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 5, 2022 - September 29, 2023

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(7/12/2024)

Exams

State Security Law Exam

Series 63

Date: 3/11/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/27/2022

General Securities Representative Examination

General Industry/Product Exam

Series 87

Date: 12/3/2022

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

SIE

Date: 10/17/2022

Securities Industry Essentials Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

LEERINK PARTNERS LLC

CRD#: 39011 / SEC#: 801-68264, 8-48535

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

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Contact information

Main Address

53 State Street 40th Floor, Boston, MA, 02109

Mailing Address

53 State Street 40th Floor 40th Floor, Boston, MA, 02109

Phone number

(617) 918-4900

Established

Delaware since 07/19/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LEERINK ADV PART 2A 03 2012 (3/24/2012)

LEERINK WRAP BROCHURE 03 2012 (3/24/2012)

Direct owners and executive officers

Name	Position	CRD#
LEERINK INTERMEDIATE HOLDINGS LLC	MEMBER
CASEY, KEVIN MICHAEL	CHIEF COMPLIANCE OFFICER	4754440
DAVIDSON, THOMAS ADAM	SENIOR MANAGING DIRECTOR	2248233
DUBIN, DANIEL BARRY	SENIOR MANAGING DIRECTOR	3231063
GENTILE, JOSEPH ROBERT	CHIEF ADMINISTRATIVE OFFICER	2545927
HEINEMAN, STEVEN P	GENERAL COUNSEL	5386950
JURKIEWICZ, GREGG MARTIN	FINOP	4440135
LEERINK, JEFFREY ALAN	CEO	1718986
OLSON, ERIC PATRICK	PRINCIPAL OPERATIONS OFFICER	2542584

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

Carlos J. Penikis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Jin-yep Penikis's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/2023

Series 7TO

Date: 12/27/2022

Series 87

Date: 12/3/2022

SIE

Date: 10/17/2022

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

LEERINK PARTNERS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LEERINK PARTNERS LLC

TRUST BUT VERIFY

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