Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Silvestre Pena is a financial advisor currently registered with Morgan Stanley. Pena's professional experience includes positions with Office Depot, U.S. Bank, and Unemployed. Pena holds licenses to provide investment advice and securities brokerage services in a variety of states across the United States. Pena's professional licenses include Series 63, Series 65, and Series 7TO. The advisor is active in a variety of states. Pena's primary office is in Los Angeles, California. The advisor specializes in investment club, insurance companies, investment companies, charitable organizations, high net worth individuals, banking or thrift institutions, pension and profit sharing plans, corporations or other businesses, individuals other than high net worth, state or municipal government entities.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
01/07/2021 - Present
Morgan Stanley (Los Angeles CA)
IA
Issued 08/25/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2020
Series 7TO - General Securities Representative Examination
BC
Issued 09/11/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joseph Pena is the right advisor for you? Invested Better is here to help.
