Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Warren? Claim Your ProfileWarren A Pena is a financial advisor with over 17 years of experience in the financial services industry. Warren is currently registered with MML Investors Services, LLC. Warren also has previous experience with Northwestern Mutual Investment Services, LLC. Warren holds the Series 6, 7TO, 63 and 65 licenses as well as the SIE. Warren provides financial planning, asset allocation, and portfolio management services. Warren is registered in 12 states including California, Connecticut, Florida, Maine, Maryland, New Jersey, New Mexico, New York, North Carolina, and Ohio.
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.
Asset allocation programs
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.
Solicitors fees
1
2
NY
06/14/2021 - Present
MML Investors Services, LLC (NEW YORK NY)
CT
07/14/2005 - 12/13/2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Norwalk CT)
IA
Issued 11/06/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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