Gilberto Pena is a CFP-designated registered investment advisor at LPL Financial LLC, based in Houston, TX, with 29 years of industry experience. Gilberto is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
11757 Katy Freeway Suite 970, Houston, TX, 77079
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Gilberto operates under the DBAs Energy Corridor Advisors and Energy Corridor for his LPL business, dedicating full-time hours to these activities. He also has Pena Wealth Management LLC, a business entity for tax/investment purposes only, which requires minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Edward Jones
Edward JonesBroker
Morgan StanleyBroker
Morgan Stanley
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
A I M Distributors, INC.Broker
State Registrations11 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.
Exams
More Advisors
- Ellen MallayLPL Financial LLC
- Beaumont BoyceLPL Financial LLC
- Lisa Marcelli, CFPLPL Financial LLC
- Kenzie Conway, CFPLPL Financial LLC
- Ronald MecklerLPL Financial LLC
- Steven Phan, CFPLPL Financial LLC