Carlos Jose Pena Velazco

Current Employers

Employment History

• 08/2016 → 11/2016
  Wells Fargo Advisors, Llc
  Miami, FL
• 11/2016 → 03/2021
  Wells Fargo Clearing Services, Llc
  Miami, FL
• 03/2021 → 05/2023
  Bolton Global Capital
  Bolton, MA
• 03/2021 → 05/2023
  Bolton Global Asset Management
  Bolton, MA
• 05/2023 → Present
  Ocean Financial Services
  Miami, FL
• 05/2023 → Present
  Ocean Financial Advisors
  Miami, FL
• 05/2023 → Present
  Ocean Bank
  Miami, FL

Previous Registrations

• 2021-03-30 → 2023-05-11
  Bolton Securities Corporation
  Bolton, MA
  Pembroke Pines, FL
• 2019-04-09 → 2021-03-03
  Wells Fargo Clearing Services, Llc
  Miami, FL
  Weston, FL

Other Businesses

1) REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE WITH Ocean Financial Advisors PROVIDING INVESTMENT ADVISORY SERVICES. INVESTMENT RELATED AND CONDUCTED FROM BRANCH LOCATION. ACTIVITY IS BALANCED WITH ROLE AS A REGISTERED REPRESENTATIVE. 2) Ocean Bank employed as banker 7 hours a day during trading hours. Investment related activity. 2) Ocean Bank: Non-Investment-Related; Miami, FL; Bank; Banker; Wealth Management VP Banker; 05/2023; 160hrs/month; 8hrs during trading hours; Banker.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-04-08
• S63 Uniform Securities Agent State Law Examination
  2018-09-11

Other Names

• Carlos Jose Pena Velazco
• Carlos Pena Velazco