Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Anthony Pena is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Adam is licensed in several states and has been in the financial industry since 2019. Adam has a strong background in securities and has held previous positions with UBS Financial Services Inc. and Fidelity Investments. Adam's primary focus is on providing a variety of financial planning and investment advisory services. Adam's specialization is in securities, mutual funds, stocks and fixed income securities, which helps clients make informed decisions about their financial future.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
08/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PARAMUS NJ)
NJ
03/01/2019 - 03/28/2023
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
BOTH
Issued 05/16/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/01/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/18/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Adam Pena is the right advisor for you? Invested Better is here to help.
