RP
Roberto R. Pena
INSIGNEO ADVISORY SERVICES
Miami, FL 33131
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CRD#: 2564642
RP
Professional summary
Roberto Ramiro Pena is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in Miami, Florida and INSIGNEO SECURITIES, LLC located in Miami, Florida.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Roberto has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
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.
-Insigneo Advisory Services, LLC. Investment related. Investment Adviser since July 2021. 20 hours/month devoted to this activity during security trading hours. Fee based. -Real Estate license currently not held with any real estate company. Current but inactive for personal use not for business. Since November 2009. -Tenet Global Advisors: DBA branding name to conduct securities and advisory activities through Insigneo Securities and Insigneo Advisory Services -ANTONICO LLC_No securities related_Address: Miami, FL_Nature: Pass-through entity_Position: Director_Start date: 05/2022_Devote: 0 hrs/month and 0 hrs/month during trading hours. Pass through for taxes purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Ramiro Pena's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 16, 2021 - Present
INSIGNEO ADVISORY SERVICES, LLC
Office #1: 1221 Brickell Avenue 27th Floor, Miami, FL 33131RIA
CRD#: 282589
Miami, FL
Current
July 14, 2021 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131BD
CRD#: 29249
Miami, FL
Past
April 9, 2012 - July 7, 2021
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MIAMI, FL
Past
April 4, 2012 - July 7, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MIAMI, FL
Past
August 9, 2011 - March 20, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIAMI, FL
Past
July 18, 2011 - March 20, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
MIAMI, FL
Past
March 2, 2011 - July 19, 2011
VECTORGLOBAL IAG, INC.
RIA
CRD#: 147129
MIAMI, FL
Past
November 23, 2010 - July 19, 2011
VECTORGLOBAL WMG
BD
CRD#: 32396
MIAMI, FL
Past
May 28, 2009 - November 15, 2010
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
MIAMI, FL
Past
April 13, 2009 - November 15, 2010
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
MIAMI, FL
Past
October 17, 2005 - March 13, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
MIAMI, FL
Past
October 13, 2005 - March 13, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
MIAMI, FL
Past
March 24, 2005 - June 9, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
MIAMI, FL
Past
March 7, 2005 - June 9, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 30, 2004 - March 7, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
MIAMI, FL
Past
March 23, 2001 - March 7, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 4, 1999 - March 22, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 8, 1995 - July 2, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(9/16/2025)
IAR
Delaware(9/17/2025)
RR
Florida(8/23/2021)
IAR
Florida(9/16/2021)
RR
Texas(8/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
Red Flags
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.
Company Information
INSIGNEO ADVISORY SERVICES, LLC
CRD#: 282589Miami, FL 33131TRUST BUT VERIFY
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