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Cesar Noe Pena

Northern Trust Securities, Inc.

Barrington, IL

Chicago, IL

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Current Employers
Northern Trust Securities, Inc.

333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-05-24
  • IL RA
    APPROVED
    Since 2024-05-24

Branch Locations

770 West Northwest Highway, Barrington, IL 60010 • United States

50 South Lasalle, Chicago, IL 60603 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Baxter Credit Union Vernon Hills IL 06/2014 03/2017
Cuso Financial Services, Lp San Diego CA 06/2014 03/2017
Bcu Wealth Advisors, Llc Vernon Hills IL 07/2014 03/2017
Fidelity Brokerage Services Llc Schaumburg IL 03/2017 05/2024
Fidelity Personal And Workplace Advisors Boston MA 07/2018 05/2024
Northern Trust Securities, Inc. Barrington IL 05/2024 Present
  • 06/2014 → 03/2017
    Baxter Credit Union
    Vernon Hills, IL
  • 06/2014 → 03/2017
    Cuso Financial Services, Lp
    San Diego, CA
  • 07/2014 → 03/2017
    Bcu Wealth Advisors, Llc
    Vernon Hills, IL
  • 03/2017 → 05/2024
    Fidelity Brokerage Services Llc
    Schaumburg, IL
  • 07/2018 → 05/2024
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 05/2024 → Present
    Northern Trust Securities, Inc.
    Barrington, IL
Previous Registrations
  • 2018-07-13 → 2024-05-16
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2017-06-20 → 2018-07-13
    Strategic Advisers Llc
    Schaumburg, IL
  • 2014-08-06 → 2017-03-28
    Bcu Wealth Advisors, Llc
    Vernon Hills, IL
  • 2014-07-08 → 2017-03-24
    Cuso Financial Services, L.P.
    Vernon Hills, IL
  • 2008-07-07 → 2009-12-31
    Northern Trust Securities, Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Lake Forest, IL
    Lake Forest, IL
    Lake Forest, IL
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-06-20
S63 Uniform Securities Agent State Law Examination 2001-03-16
  • S65 Uniform Investment Adviser Law Examination
    2017-06-20
  • S63 Uniform Securities Agent State Law Examination
    2001-03-16
Designations
Other Names
  • Hinojosa
  • Cesar N Pena

View on SEC IAPD

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Other Investors

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FRANCESCO PAUL VITALE
PAUL JOSEPH DONATO
PETER ANTHONY BALISTRERI
John Geoffrey Ferguson
ANTHONY JOSEPH BALDASSANO
BRAD ALLAN HERMAN
DANIEL PAUL FELDSTEIN

Other Offices

MERIT FINANCIAL ADVISORS · Barrington, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Barrington, IL
PATRICK M. SWEENEY & ASSOCIATES, INC · Barrington, IL
SEQUOIA WEALTH MANAGEMENT, LLC · Barrington, IL
LPL FINANCIAL LLC · BARRINGTON, IL
CARTER FINANCIAL GROUP, INC. · BARRINGTON, IL
EDWARD JONES · BARRINGTON, IL
TORANA GROUP LLC · BARRINGTON, IL

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