Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Casey? Claim Your ProfileCasey Lee Scott Pena is a financial advisor with Cetera Investment Advisers LLC, where Casey has been employed since June 2019. Prior to Cetera, Casey worked at Foresters Financial Services, Inc. for over 16 years. Casey is registered in California, Colorado and Washington. Casey is also a Registered Investment Advisor. Casey holds Series 6, 7, 24, 26, 51 and 66 securities licenses.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
06/20/2019 - Present
Cetera Investment Advisers LLC (WALNUT CREEK CA)
CA
02/21/2003 - 06/20/2019
FORESTERS FINANCIAL SERVICES, INC. (WALNUT CREEK CA)
BOTH
Issued 7/29/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/6/2014
Series 24 - General Securities Principal Examination
BC
Issued 6/22/2010
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 12/18/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2009
Series 7 - General Securities Representative Examination
BC
Issued 11/15/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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