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Casey Pena

Cetera Investment Advisers LLC
23 Years of Experience
Walnut Creek, CA
1 DisclosureBroker
View SEC Summary
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Casey Pena is a registered investment advisor at Cetera Investment Advisers LLC, based in Walnut Creek, CA, with 23 years of industry experience. Casey is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

1600 South Main Street, Suite 315, Walnut Creek, CA, 94596

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History

Regulatory History (1)
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Criminal
April 1998
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Cetera Investment Services LLCBroker
June 2019 - Present · 7 yrs 4 mos
Cetera Investment Advisers LLC
June 2019 - Present · 7 yrs 4 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 Registrations4 states
CACOVTWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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