Anna P. Pena
Professional summary
Anna P Pena, who also goes by Anna P Pena, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.
Anna is registered as a RR (Registered Representative) and started their career in finance in 2003. Anna has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anna P Pena's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709January 30, 2014 - January 9, 2023
NATIONAL FINANCIAL SERVICES LLC
March 3, 2004 - February 13, 2006
GLEN RAUCH SECURITIES, INC.
April 28, 2003 - February 19, 2004
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 21, 2003 - February 19, 2004
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Durham, NC 27709TRUST BUT VERIFY
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