JP
CFP
JP
CFP
Jose Pena is a CFP-designated registered investment advisor at Morgan Stanley, based in Georgetown, GA, with 26 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
Georgetown, GA
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Regulatory History (1)
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Customer Dispute
February 2013Withdrawn
Other Business Activities
Jose owns Penarus 5, LLC, a real estate holding company, since 2017, and is a shareholder of WWCD of Florida, dealing with personal property. He is also the sole proprietor/owner of Pinocchio 5 R US, LLC, a real estate property management company, since 2021.
Employment History
Current Registrations
Morgan StanleyBroker
July 2015 - Present · 10 yrs 10 mos
Morgan Stanley
July 2015 - Present · 10 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2007 - August 2015 · 8 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2007 - August 2015 · 8 yrs 7 mos
Wachovia Securities, LLCBroker
July 2003 - January 2007 · 3 yrs 6 mos
Wachovia Securities, LLC
July 2003 - January 2007 · 3 yrs 6 mos
Prudential Securities Incorporated
July 1999 - July 2003 · 4 yrs
Prudential Securities IncorporatedBroker
July 1999 - July 2003 · 4 yrs
State Registrations25 states
ALCACOCTDEFLGAHIILINLAMANCNDNJNMNYPASCSDTNTXVAWVWY
AdvisorBrokerBoth
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
No exam information available for this advisor.