Joseph Pena, financial advisor Garden Grove CA
96 score

Joseph Pena

CRD Number: 1007327
Current Firm: National Planning Corporation ("npc Of America" In Fl & Ny)

Joseph Pena (CRD# 1007327) is an Investment Advisor Representative working at National Planning Corporation ("npc Of America" In Fl & Ny) in Garden Grove, CA and has over 22 years of experience in the finance industry. Joseph Pena has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
National Planning Corporation Santa Monica, CA May 2013 - Current 3
J. Anthony Pena Ea, Cfp Garden Grove, CA May 1975 - Current 41
J.w. Cole Financial, Inc. Garden Grove, CA May 2013 - May 2013 < 1
J. W. Cole Advisors, Inc. Tampa, FL May 2013 - May 2013 < 1
Financial Advisers Of America, LLC Carlsbad, CA Jul 2009 - May 2013 3
Royal Alliance Associates, Inc. Garden Grove, CA Jan 1998 - Jul 2009 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1994
Contact Info for Joseph A. Pena
Phone Number: 310-899-7900
Firm Website: https://www.natplan.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    7,811
    MILLIONS
  • Total Number of Accounts
    42,943
    ACCOUNTS
  • Average Account Value
    $181,887
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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