Warren Pena
Warren Pena is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in New York, NY, with 20 years of industry experience. Warren operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 392,809 clients with $90B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
MML Investors Services manages investment menus for retirement plans and offers a managed account service for participants.
For the overall plan, MMLIS selects and monitors investment options. For participants using the managed account service, fees are charged quarterly, up to a maximum of 0.60% per year of the account value. MMLIS receives 0.10% of this fee, with the remainder going to Morningstar and the recordkeeper. The exact fees vary by recordkeeper and whether the service is a Qualified Default Investment Alternative.
Location
90 Park Ave, 17th Fl, New York, NY, 10016
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Regulatory History (2)
Criminal
April 2003Criminal
March 2002Other Business ActivitiesSells Insurance
Warren is an insurance sales agent for individual life, health, and group health insurance, dedicating a few hours per week to this activity since January 2023. Warren also owns SoNo Financial LLC, an entity for pass-through compensation, but spends minimal time on it.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
State Registrations10 states
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.