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CFP

Kristopher Pena

Ameriprise Financial Services, LLC
21 Years of Experience
Newport Beach, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Kristopher Pena is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Newport Beach, CA, with 21 years of industry experience. Kristopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4695 Macarthur Ct Ste 1100, Newport Beach, CA, 92660

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2015
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kristopher owns commercial and residential real estate, and is an independent insurance broker for Pacific Life selling term life insurance. He is also a financial advisor and CEO of a consulting business, spending about a third of his time on it, and a board member for De La Pena, dedicating minimal time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
August 2005 - Present · 21 yrs 2 mos
Ameriprise Financial Services, LLC
July 2005 - Present · 21 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2005 - Present · 21 yrs 3 mos
Previous Registrations
Ids Life Insurance CompanyBroker
July 2005 - July 2006 · 1 yr
State Registrations35 states
ALAZCACODEFLGAHIIAIDILINKSKYMAMIMNMONCNMNVNYOHOKORPASCSDTNTXUTVAWAWIWY
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.
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