Ivan Pena
Ivan Pena is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Mcallen, TX, with 18 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
200 S 10th St, Mcallen, TX, 78501
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Ivan owns ScaleHi Goods, LLC, created for online retail sales, dedicating a full day per week. He is also a general partner/managing member of ScaleHi Digital Marketing LLC, spending a few hours per week to promote an online digital marketing course via an affiliate link.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations21 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.