RP
Rachel E. Pena
ROBERT W. BAIRD & CO.
Franklin, TN 37067
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CRD#: 2853296
RP
Professional summary
Rachel Elizabeth Pena, who also goes by Rachel Elizabeth Pena Mrs., Rachel Elizabeth Pena-guel, Rachel Elizabeth Penaguel Mrs., is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Franklin, Tennessee.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rachel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel Elizabeth Pena Mrs. | Rachel Elizabeth Pena-Guel | Rachel Elizabeth Penaguel Mrs.
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.
BERRY PENA WEALTH MANAGEMENT ; INVESTMENT RELATED; 6700 TOWER CIRCLE STE 360 FRANKLIN, TN 37067; MARKETING NAME FOR B. RILEY WEALTH MANAGEMENT BUSINESS; FINANCIAL ADVISOR; STARTED FEB 2015; ALL TRADING HOURS DEVOTED TO THIS ACTIVITY; ACTING IN FINANCIAL ADVISOR CAPACITY THROUGH B. RILEY WEALTH MANAGEMENT. *****NOTARY STATE OF TN; NOT INVESTMENT RELATED; 6526 CORNWALL COURT NASHVILLE TN 37205; NOTARY; STARTED 2015; LESS THAN 1 HOUR PER MONTH DEVOTED; LESS THAN 1 HOUR PER MONTH DEVOTED DURING TRADING; NOTARIZE VARIOUS DOCUMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Elizabeth Pena's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rachel Elizabeth 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
October 14, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4020 Aspen Grove Drive Suite 520, Franklin, TN 37067RIA
BD
CRD#: 8158
Franklin, TN
Current
October 14, 2024 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 4020 Aspen Grove Drive Suite 520, Franklin, TN 37067RIA
BD
CRD#: 8158
Franklin, TN
Past
August 2, 2022 - November 13, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Franklin, TN
Past
February 13, 2015 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Franklin, TN
Past
February 13, 2015 - November 13, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Franklin, TN
Past
June 1, 2009 - February 27, 2015
MORGAN STANLEY
RIA
CRD#: 149777
FRANKLIN, TN
Past
June 1, 2009 - February 27, 2015
MORGAN STANLEY
BD
CRD#: 149777
FRANKLIN, TN
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
FRANKLIN, TN
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
FRANKLIN, TN
Past
January 17, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
NASHVILLE, TN
Past
July 18, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NASHVILLE, TN
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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Alabama(11/14/2024)
RR
Arizona(10/14/2024)
RR
California(10/14/2024)
RR
Colorado(10/14/2024)
RR
Connecticut(10/14/2024)
RR
Florida(10/14/2024)
RR
Georgia(10/14/2024)
RR
Illinois(11/21/2024)
RR
Kansas(10/14/2024)
RR
Kentucky(2/20/2025)
RR
Maryland(10/14/2024)
RR
Massachusetts(10/15/2024)
RR
Michigan(10/14/2024)
RR
Minnesota(10/29/2024)
RR
Mississippi(10/14/2024)
RR
Missouri(10/14/2024)
RR
New Jersey(10/14/2024)
RR
New York(10/14/2024)
RR
North Carolina(11/13/2024)
RR
Ohio(3/7/2025)
RR
Pennsylvania(10/14/2024)
RR
South Carolina(10/14/2024)
RR
Tennessee(10/14/2024)
IAR
Tennessee(10/14/2024)
RR
Texas(10/14/2024)
IAR
Texas(10/14/2024)
RR
Virginia(10/14/2024)
RR
Washington(10/14/2024)
RR
Wisconsin(10/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
