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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alfonso? Claim Your ProfileAlfonso R. Pena is a financial advisor with over 25 years of experience in the industry. Alfonso is registered with Morgan Stanley and holds Series 7, 31, and 66 licenses as well as a Series 65 license. Alfonso specializes in providing financial planning services to individuals, families, and businesses, including retirement planning, investment management, and college savings. Alfonso is committed to providing clients with personalized financial advice and solutions that meet their unique needs.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
02/28/2014 - Present
Morgan Stanley (Morristown NJ)
NC
11/05/2008 - 02/27/2014
UBS FINANCIAL SERVICES INC. (CHARLOTTE NC)
NJ
05/27/2008 - 11/03/2008
LPL FINANCIAL CORPORATION (MERCERVILLE NJ)
NJ
01/19/2007 - 05/27/2008
IFMG SECURITIES, INC. (MERCERVILLE NJ)
MA
10/20/2004 - 10/29/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
10/27/1997 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
08/27/1996 - 10/16/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 12/20/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2009
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1996
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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