Warren Pena
Warren Pena is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in Norwalk, CT, with 20 years of industry experience. Warren is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
Norwalk, CT
Get directionsHistory
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 Registrations11 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.
Exams
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