Gilberto Pena is a CFP-designated registered investment advisor at LPL Financial LLC, based in Houston, TX, with 29 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
11757 Katy Freeway Suite 970, Houston, TX, 77079
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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.
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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
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