PP
Paul Pena
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
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CRD#: 4302325
PP
Professional summary
Paul Pena III, who also goes by Paul Pena III, Paul Pena, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2001. Paul has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Pena Iii | Paul Pena
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Paul Pena III'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
January 17, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
February 6, 2018 - August 27, 2019
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Irving, TX
Past
June 2, 2017 - January 24, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
Past
January 14, 2003 - November 17, 2005
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
February 7, 2001 - January 15, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/12/2021)
RR
Alaska(1/12/2021)
RR
Arizona(1/12/2021)
RR
Arkansas(1/12/2021)
RR
California(1/12/2021)
RR
Colorado(1/12/2021)
RR
Connecticut(1/12/2021)
RR
Delaware(1/12/2021)
RR
District of Columbia(1/12/2021)
RR
Florida(1/12/2021)
RR
Georgia(1/12/2021)
RR
Hawaii(1/12/2021)
RR
Idaho(1/12/2021)
RR
Illinois(1/12/2021)
RR
Indiana(1/12/2021)
RR
Iowa(1/12/2021)
RR
Kansas(1/12/2021)
RR
Kentucky(1/12/2021)
RR
Louisiana(1/12/2021)
RR
Maine(1/12/2021)
RR
Maryland(1/12/2021)
RR
Massachusetts(1/12/2021)
RR
Michigan(1/12/2021)
RR
Minnesota(1/12/2021)
RR
Mississippi(1/12/2021)
RR
Missouri(1/12/2021)
RR
Montana(1/12/2021)
RR
Nebraska(1/12/2021)
RR
Nevada(1/12/2021)
RR
New Hampshire(1/12/2021)
RR
New Jersey(1/12/2021)
RR
New Mexico(1/12/2021)
RR
New York(1/12/2021)
RR
North Carolina(1/12/2021)
RR
North Dakota(1/12/2021)
RR
Ohio(1/13/2021)
RR
Oklahoma(1/12/2021)
RR
Oregon(1/12/2021)
RR
Pennsylvania(1/12/2021)
RR
Puerto Rico(1/12/2021)
RR
Rhode Island(1/12/2021)
RR
South Carolina(1/12/2021)
RR
South Dakota(1/12/2021)
RR
Tennessee(1/12/2021)
RR
Texas(1/17/2020)
RR
Utah(1/12/2021)
RR
Vermont(1/12/2021)
RR
Virginia(1/12/2021)
RR
Washington(1/12/2021)
RR
West Virginia(1/12/2021)
RR
Wisconsin(1/12/2021)
RR
Wyoming(1/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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 |
| 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 | 126 |
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.
