Ivan Pena, financial advisor Mcallen TX
93 score

Ivan Pena

CRD Number: 5373097
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ivan Pena (CRD# 5373097) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Mcallen, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mcallen, TX Apr 2015 - Current 1
J.p. Morgan Securities LLC Mcallen, TX Oct 2012 - Apr 2015 2
Jpmorgan Chase Bank Na Mcallen, TX Jul 2010 - Apr 2015 4
Chase Investment Services Corp Mcallen, TX Jul 2010 - Oct 2012 2
Wells Fargo Investments, LLC Pharr, TX Jul 2007 - Jun 2010 2
Wells Fargo Bank, N.a. Pharr, TX Aug 2005 - Jun 2010 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2007
Contact Info for Ivan Pena
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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