Joseph Pena is a CFP-designated registered investment advisor at LPL Financial LLC, based in Garden Grove, CA, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
12377 Lewis St Ste 102, Garden Grove, CA, 92840
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Joseph owns office space rental property since 2017. He is also an owner of a tax preparation/accounting/CPA business, spending full-time hours on partnership/corp fiduciary tax returns and bookkeeping.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
J.W. Cole Financial, INC.Broker
J. W. Cole Advisors, INC.
Financial Advisers of America, LLC
Financial Advisers of America, LLCBroker
Royal Alliance Associates, INC.Broker
Walnut Street Securities, INC.Broker
Financial Network Investment CorporationBroker
American Pacific Securities CorporationBroker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.