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EP

Estella D. Pena

VICTORY CAPITAL SERVICES
San Antonio, TX 78256
Some features on this profile are disabled
CRD#: 4529610
EP

Professional summary

Estella Deluna Pena, who also goes by Estella De Luna Pena, Stella Pena, is a registered financial professional currently at VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.

Estella is registered as a RR (Registered Representative) and started their career in finance in 2002. Estella has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Estella De Luna Pena | Stella 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Estella Deluna Pena'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

April 2, 2025 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256
BD
CRD#: 37059
San Antonio, TX
Past

January 8, 2018 - August 14, 2019

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

December 19, 2017 - June 29, 2018

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

May 14, 2013 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SAN ANTONIO, TX
Past

May 14, 2013 - August 14, 2019

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

June 2, 2011 - May 23, 2013

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

June 2, 2011 - May 23, 2013

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

January 2, 2009 - June 6, 2011

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SAN ANTONIO, TX
Past

September 25, 2007 - June 6, 2011

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

November 20, 2006 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

March 1, 2004 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

August 21, 2002 - February 20, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/22/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/22/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059San Antonio, TX 78256

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