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Ashley Lynn Pena

Charles Schwab & CO., Inc.

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About Ashley Lynn Pena

Ashley Lynn Pena is a financial advisor who has been in the industry since August 2022. Ashley is currently registered with Charles Schwab & CO., Inc. in Texas. Ashley has Series 7TO, Series 66, and SIE licenses and is registered in 51 states as a broker and in Texas as an Investment Advisor Representative. Ashley's current employment is with Charles Schwab & CO., Inc., located in Plano, Texas. Ashley also worked with Roberts Wealth Management in Sugarland, Texas, and Galena Park Independent School District and Texas Bay Credit Union both in Houston, Texas. Ashley also works with Charles Schwab Banks SSB located in Plano, Texas.

Firm Information

Ashley Pena is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Ashley Pena’s Registration & Firm History

TX

11/15/2022 - Present

Charles Schwab & CO., Inc. (Plano TX)

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Licenses & Designations

BOTH

Issued 11/15/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/19/2022

Series 7TO - General Securities Representative Examination

BC

Issued 07/15/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Ashley Lynn Pena.
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