Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rachel? Claim Your ProfileRachel Elizabeth Pena is a financial advisor who has been active in the financial industry for over 20 years. Pena holds a series 7, 31, and 63 license, and has a Series 65 license as well. She is a Registered Representative of and investment advisor representative for Robert W. Baird & Co. Inc. based in the Franklin, TN office. Pena was previously affiliated with Morgan Stanley for over 6 years. Rachel Pena and the Baird team work with individuals, families, trusts, retirement plans and small businesses in developing personalized financial plans.
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.
See schedule d
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.
Hard dollar payments for research
1
2
TN
10/14/2024 - Present
Robert W. Baird & Co. Inc. (Franklin TN)
TN
06/01/2009 - 02/27/2015
MORGAN STANLEY (FRANKLIN TN)
TN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FRANKLIN TN)
TN
07/18/2000 - 04/02/2007
MORGAN STANLEY DW INC. (NASHVILLE TN)
IA
Issued 02/04/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 07/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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