CP
CP
Casey Pena
23 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
Casey Pena is a registered investment advisor at Cetera Investment Advisers LLC, based in Walnut Creek, CA, with 23 years of industry experience. Casey operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1600 South Main Street, Suite 315, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (1)
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Criminal
April 1998Final Disposition
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2019 - Present · 6 yrs 11 mos
Cetera Investment Services LLCBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
Foresters Advisory Services, LLC
August 2013 - June 2019 · 5 yrs 10 mos
Foresters Financial Services, INC.Broker
February 2003 - June 2019 · 16 yrs 4 mos
State Registrations3 states
CACOWA
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.