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Jonathan Charles Penta

Empirical Asset Management, LLC

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About Jonathan Charles Penta

Jonathan Charles Penta is an investment advisor representative at Empirical Asset Management, LLC. Jonathan has been in the industry since 2001. Jonathan has a Series 7, Series 31 and Series 66 licenses. Jonathan has worked at several firms, including UBS Financial Services Inc. and Purshe Kaplan Sterling Investments. Jonathan is registered to provide investment advisory services in Massachusetts.

Firm Information

Jonathan Penta is currently registered with Empirical Asset Management, LLC. Empirical Asset Management, LLC is an investment advisor headquartered in Wellesley, MA. They manage approximately $328,685,091 in assets for a variety of clients, including high-net-worth individuals, pension plans, charitable organizations, and pooled investment vehicles. The firm offers portfolio management services for individuals, businesses, and pooled investment vehicles, as well as pension consulting and selection of other advisors.
Empirical Asset Management, LLC

57 RIVER STREET

WELLESLEY, MA 02481

$328.69M

Assets Under Management

2

Total Clients

8

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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model services

Model services

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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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Jonathan Penta’s Registration & Firm History

MA

01/19/2022 - Present

Empirical Asset Management, LLC (WELLESLEY MA)

MA

08/12/2019 - 10/30/2019

PURSHE KAPLAN STERLING INVESTMENTS (Waltham MA)

MA

03/02/2007 - 05/03/2019

UBS FINANCIAL SERVICES INC. (WELLESLEY MA)

MA

09/07/2001 - 03/05/2007

MORGAN STANLEY DW INC. (WELLESLEY MA)

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Licenses & Designations

BOTH

Issued 09/25/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/16/2001

Series 31 - Futures Managed Funds Examination

BC

Issued 09/06/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 3 public disclosures for Jonathan Charles Penta. Review regulatory record here.
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