Johnny PenaCRD Number: 4469798
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Johnny Pena (CRD# 4469798) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Gig Harbor, WA and has over 14 years of experience in the finance industry.
|Bank Of America N.a.||Federal Way, WA||Oct 2012 - Current||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Seattle, WA||Aug 2012 - Current||4|
|World Financial Group, Inc.||Tukwila, WA||Mar 2012 - Jul 2012||< 1|
|Transamerica Financial Advisors, Inc.||Tukwila, WA||Mar 2012 - Jul 2012||< 1|
|Unemployed||Federal Way, WA||Dec 2010 - Feb 2012||1|
|Edward Jones||St Louis, MO||Jul 2009 - Nov 2011||2|
|Unemployed||Tacoma, WA||Apr 2009 - Jun 2009||< 1|
|Countrywide Insurance/homeloans||Renton, WA||Aug 2008 - Mar 2009||< 1|
|Unemployed||Tacoma, WA||Apr 2008 - Jul 2008||< 1|
|Sunwest Insurance Agency, LLC||Federal Way, WA||Sep 2006 - Mar 2008||1|
|Allstate Insurance Company||Tukwila, WA||Jul 2001 - Aug 2006||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2002|
|S66||NASAA Uniform Combined State Law Examination||Oct 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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