Anjanette Pena
Professional Summary
Anjanette Pena, who also goes by Anjanette Pena Kallas, Anjie Kallas, Anjanette T Pena, Anjanette Tanedo Pena, Anjie Pena, is a registered financial advisor currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois. Anjanette is registered as a RR (Registered Representative) and started their career in finance in 1994. Anjanette has worked at 7 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anjanette Pena Kallas, Anjie Kallas, Anjanette T Pena, Anjanette Tanedo Pena, Anjie Pena
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Current Firm
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.
Contact Information
Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606Phone Number
(312) 443-4420Established
Delaware since 02/21/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/31/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
(7/30/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - BD
Click below to view Anjanette Pena's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.