Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ivan? Claim Your ProfileIvan Pena is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Ivan is a registered representative in Texas and has been in the industry since December 2007. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Ivan was with J.P. MORGAN SECURITIES LLC and CHASE INVESTMENT SERVICES CORP. Ivan is also the owner of ScaleHi Goods, LLC, a for-profit limited liability company that facilitates online retail sales. Ivan has a Series 7, Series 66, and a SIE license.
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
TX
05/04/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCALLEN TX)
TX
10/01/2012 - 04/29/2015
J.P. MORGAN SECURITIES LLC (MCALLEN TX)
TX
10/01/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MCALLEN TX)
TX
09/13/2007 - 07/14/2010
WELLS FARGO INVESTMENTS, LLC (PHARR TX)
BOTH
Issued 10/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/12/2007
Series 7 - General Securities Representative 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
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