Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Pena is a financial advisor with Fidelity Personal And Workplace Advisors in Coral Gables, FL. Luis has been in the financial industry since 2012. Luis is registered with FINRA as a general securities representative and holds the Series 6, Series 7 and Series 66 licenses. Luis is also registered with the states of Florida and Texas.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
FL
08/23/2023 - Present
Fidelity Personal AND Workplace Advisors (CORAL GABLES FL)
FL
11/12/2020 - 01/11/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MIAMI FL)
FL
10/01/2012 - 09/11/2019
J.P. MORGAN SECURITIES LLC (MIAMI FL)
FL
08/14/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MIAMI FL)
BOTH
Issued 02/19/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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