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Joel Arias Pena

Foreside Fund Services, LLC

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About Joel Arias Pena

Joel Arias Pena is a financial advisor with over 15 years of experience in the financial services industry. Joel is currently registered with Foreside Fund Services, LLC. Previously, Joel has held positions at Boston Partners Securities, L.L.C., PIMCO INVESTMENTS LLC, ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC, and BBVA BANCOMER SECURITIES INTERNATIONAL, INC. Joel holds Series 3, 7, 24, 55, 63, 65 and SIE licenses. Joel is registered with the state of California and several other states.

Firm Information

Joel Pena is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

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.

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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Joel Pena’s Registration & Firm History

CA

12/22/2017 - Present

Foreside Fund Services, LLC (Los Angeles CA)

FL

06/30/2016 - 12/20/2016

FORESIDE FUND SERVICES, LLC (Miami FL)

MA

06/19/2014 - 06/30/2016

BOSTON PARTNERS SECURITIES, L.L.C. (BOSTON MA)

NY

02/14/2011 - 05/19/2014

PIMCO INVESTMENTS LLC (NEW YORK NY)

NY

09/19/2008 - 02/14/2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)

TX

10/18/2002 - 07/18/2005

BBVA BANCOMER SECURITIES INTERNATIONAL, INC. (HOUSTON TX)

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Licenses & Designations

BOTH

Issued 09/30/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/02/2004

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/02/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/23/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/14/2008

Series 3 - National Commodity Futures Examination

BC

Issued 09/18/2008

Series 7 - General Securities Representative Examination

BC

Issued 10/22/2002

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joel Arias Pena.
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