Alfonso Pena is a registered investment advisor at Morgan Stanley, based in Morristown, NJ, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
340 Mount Kemble Avenue, Morristown, NJ, 07960
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Morgan Stanley
February 2014 - Present · 12 yrs 3 mos
Morgan StanleyBroker
February 2014 - Present · 12 yrs 3 mos
Previous Registrations
UBS Financial Services INC.
December 2008 - February 2014 · 5 yrs 2 mos
UBS Financial Services INC.Broker
November 2008 - February 2014 · 5 yrs 3 mos
LPL Financial CorporationBroker
May 2008 - November 2008 · 6 mos
Ifmg Securities, INC.Broker
January 2007 - May 2008 · 1 yr 4 mos
Banc of America Investment Services, INC.
October 2004 - October 2004 · 0 mos
Banc of America Investment Services, INC.Broker
October 2004 - October 2004 · 0 mos
Quick & Reilly, INC.
December 2002 - October 2004 · 1 yr 10 mos
Quick & Reilly, INC.Broker
October 1997 - October 2004 · 7 yrs
Dean Witter Reynolds INC.Broker
August 1996 - October 1997 · 1 yr 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.