Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Anthony Pena is a financial advisor at LPL Financial LLC. Joseph is registered with both the state of California and Illinois. Joseph has been in the financial services industry since 1984. Joseph holds the Series 7, Series 63 and SIE licenses. Joseph is also a Certified Financial Planner. Joseph's previous experience includes working at National Planning Corporation, J.W. Cole Financial, Inc., Financial Advisers of America, LLC, Royal Alliance Associates, Inc., Walnut Street Securities, Inc., and Financial Network Investment Corporation.
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.
Consulting and other non-discretionary advisory services
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.
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CA
11/29/2017 - Present
LPL Financial LLC (GARDEN GROVE CA)
CA
05/24/2013 - 11/29/2017
NATIONAL PLANNING CORPORATION (GARDEN GROVE CA)
CA
05/10/2013 - 05/23/2013
J.W. COLE FINANCIAL, INC. (GARDEN GROVE CA)
CA
07/03/2009 - 05/10/2013
FINANCIAL ADVISERS OF AMERICA, LLC (GARDEN GROVE CA)
CA
01/26/1998 - 07/07/2009
ROYAL ALLIANCE ASSOCIATES, INC. (GARDEN GROVE CA)
CA
06/29/1992 - 01/20/1998
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
CA
04/10/1989 - 07/09/1992
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NA
02/03/1984 - 04/10/1989
AMERICAN PACIFIC SECURITIES CORPORATION
BC
Issued 01/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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