WP
Wilfredo M. Pena
FIDELITY BROKERAGE SERVICES LLC
Jacksonville, FL 32246
Some features on this profile are disabled
CRD#: 5774321
WP
Professional summary
Wilfredo M. Pena, who also goes by Wil Pena, Wilfred M Pena, Wilfredo Mariano Pena, Wilfredo M Pena, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jacksonville, Florida.
Wilfredo is registered as a RR (Registered Representative) and started their career in finance in 2011. Wilfredo has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wil Pena | Wilfred M Pena | Wilfredo Mariano Pena | Wilfredo M 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 Wilfredo M. 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
May 26, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4601 Touchton Rd East, Bldg 400, Jacksonville, FL 32246BD
CRD#: 7784
Jacksonville, FL
Past
May 8, 2020 - August 25, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CORAL GABLES, FL
Past
April 9, 2020 - August 25, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CORAL GABLES, FL
Past
March 25, 2017 - February 5, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
TAVERNIER, FL
Past
March 25, 2017 - February 5, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TAVERNIER, FL
Past
January 13, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
TAVERNIER, FL
Past
January 12, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TAVERNIER, FL
Past
March 17, 2014 - December 3, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ISLAMORADA, FL
Past
March 11, 2014 - December 3, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ISLAMORADA, FL
Past
August 2, 2011 - February 24, 2014
EDWARD JONES
RIA
CRD#: 250
ISLAMORADA, FL
Past
July 18, 2011 - February 24, 2014
EDWARD JONES
BD
CRD#: 250
ISLAMORADA, FL
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(5/26/2021)
RR
Alaska(5/26/2021)
RR
Arizona(5/26/2021)
RR
Arkansas(5/26/2021)
RR
California(5/26/2021)
RR
Colorado(5/26/2021)
RR
Connecticut(5/26/2021)
RR
Delaware(5/26/2021)
RR
District of Columbia(5/26/2021)
RR
Florida(5/26/2021)
RR
Georgia(5/26/2021)
RR
Hawaii(5/26/2021)
RR
Idaho(5/26/2021)
RR
Illinois(5/26/2021)
RR
Indiana(5/26/2021)
RR
Iowa(5/26/2021)
RR
Kansas(5/26/2021)
RR
Kentucky(5/26/2021)
RR
Louisiana(5/26/2021)
RR
Maine(5/26/2021)
RR
Maryland(5/26/2021)
RR
Massachusetts(5/26/2021)
RR
Michigan(5/26/2021)
RR
Minnesota(5/26/2021)
RR
Mississippi(5/26/2021)
RR
Missouri(5/26/2021)
RR
Montana(5/26/2021)
RR
Nebraska(5/26/2021)
RR
Nevada(5/26/2021)
RR
New Hampshire(5/26/2021)
RR
New Jersey(5/26/2021)
RR
New Mexico(5/26/2021)
RR
New York(5/26/2021)
RR
North Carolina(5/26/2021)
RR
North Dakota(5/26/2021)
RR
Ohio(5/29/2021)
RR
Oklahoma(5/26/2021)
RR
Oregon(5/26/2021)
RR
Pennsylvania(5/26/2021)
RR
Puerto Rico(5/26/2021)
RR
Rhode Island(5/26/2021)
RR
South Carolina(5/26/2021)
RR
South Dakota(5/26/2021)
RR
Tennessee(5/26/2021)
RR
Texas(5/26/2021)
RR
Utah(5/26/2021)
RR
Vermont(5/26/2021)
RR
Virgin Islands(5/26/2021)
RR
Virginia(5/26/2021)
RR
Washington(5/26/2021)
RR
West Virginia(5/26/2021)
RR
Wisconsin(5/26/2021)
RR
Wyoming(5/26/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
| 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
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Jacksonville, FL 32246TRUST BUT VERIFY
Monitor Wilfredo Pena
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
