Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Pena is a financial professional with over 10 years of experience in the financial services industry. Anna currently holds the Series 7, Series 99TO, and SIE licenses and is registered with Fidelity Brokerage Services LLC. Anna has experience with several firms including National Financial Services LLC, Glen Rauch Securities, Inc., and Wells Fargo Brokerage Services, LLC. Anna's background with multiple firms gives her a broad perspective of the financial services industry and provides her with the ability to offer different solutions to her clients.
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.
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.
1
2
NC
04/04/2023 - Present
Fidelity Brokerage Services LLC (DURHAM NC)
NJ
01/30/2014 - 01/09/2023
NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)
NY
03/03/2004 - 02/13/2006
GLEN RAUCH SECURITIES, INC. (NEW YORK NY)
MN
04/28/2003 - 02/19/2004
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NC
04/21/2003 - 02/19/2004
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (CHARLOTTE NC)
BC
Issued 04/25/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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