Adam PenaCRD Number: 7051463
Current Firm: Ubs Financial Services Inc.
Adam Pena (CRD# 7051463) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Red Bank, NJ and has over 3 years of experience in the finance industry.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Ameriprise Financial Services, LLC
|Ubs Financial Services Inc.||Weehawken, NJ||Nov 2018 - Current||4|
|Enterprise-rent-a-car||Fair Lawn, NJ||Feb 2017 - Nov 2018||1|
|Capital One Bank||Paramus, NJ||Jul 2016 - Jan 2017||< 1|
|Hilton Hotels||Pearl River, NY||Sep 2012 - Jul 2016||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||May 2019|
Total Assets Under Management692,292MILLIONS
Total Number of Accounts1,073,865ACCOUNTS
Average Account Value$644,673
- 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 businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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