Jonathan C. Penta

EMPIRICAL ASSET MANAGEMENT

Wellesley, MA 02481

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CRD#: 4385853

Professional summary

Jonathan Charles Penta, who also goes by Jonathan C Penta, is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Wellesley, Massachusetts.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jonathan has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan C Penta

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.

1. Insurance Sales; 77 Central St. Wellesley, MA 02482; insurance agent; Non-investment related; Approximately 10% of time during month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Charles Penta's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 19, 2022 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

Office #1: 57 River Street Suite 301, Wellesley, MA 02481

RIA

CRD#: 155436

Wellesley, MA

Past

August 12, 2019 - October 30, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Waltham, MA

Past

April 24, 2019 - September 9, 2021

SAVIOR WEALTH

RIA

CRD#: 299178

WALTHAM, MA

Past

March 2, 2007 - May 3, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WELLESLEY, MA

Past

March 2, 2007 - May 3, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WELLESLEY, MA

Past

September 8, 2006 - March 5, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WELLESLEY, MA

Past

September 7, 2001 - March 5, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WELLESLEY, MA

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".

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/19/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/16/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/6/2001

General Securities Representative Examination

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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Contact information

Main Address

57 River Street Suite 301, Wellesley, MA 02481

Mailing Address

Phone number

(781) 431-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAM DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 467,001,856

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan C. Penta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Charles Penta's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SAVIOR WEALTH

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2001

SIE

Date: 10/1/2018

Series 31

Date: 11/16/2001

Series 7

Date: 9/6/2001

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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