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KP

Kathleen B. Pena

SPIRE WEALTH MANAGEMENT
MCLEAN, VA 22102
Some features on this profile are disabled
CRD#: 6168976
KP

Professional summary

Kathleen Bianel Pena, who also goes by Kathleen B Pena, Kathleen Bianel Pena, Kathleen Pena, Kathleen Pena-schurr, is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Mclean, Virginia and SPIRE SECURITIES, LLC located in Mclean, Virginia.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kathleen has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen B Pena | Kathleen Bianel Pena | Kathleen Pena | Kathleen Pena-Schurr

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) - RIA

Click below to view Kathleen Bianel 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

March 17, 2026 - Present

SPIRE WEALTH MANAGEMENT, LLC

Office #1: 7901 Jones Branch Dr. Suite 800, Mclean, VA 22102
RIA
CRD#: 113908
MCLEAN, VA
Current

April 11, 2025 - Present

SPIRE SECURITIES, LLC

Office #1: 7901 Jones Branch Dr. Suite 810, Mclean, VA 22102
BD
CRD#: 144131
Mclean, VA
Past

July 6, 2022 - March 10, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
KNOXVILLE, TN
Past

February 14, 2019 - March 5, 2021

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 27, 2015 - January 17, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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".
SW
SPIRE WEALTH MANAGEMENT, LLC
LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA
Registered Investment Advisory firm - (8/17/2001 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.
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

IAR
Virginia
(3/17/2026)
RR
Virginia
(3/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2026
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/10/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/11/2025
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/26/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SPIRE WEALTH MANAGEMENT, LLC
LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA
Registered Investment Advisory firm - (8/17/2001 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
7901 Jones Branch Dr. Suite 810, Mclean, VA 22102
Mailing Address
7901 Jones Branch Drive Suite 800, Mclean, VA 22102
Phone number
(703) 657-6060
Established
Firm type
Fiscal year end
# of Employees
165

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 SPIRE WEALTH MANAGEMENT ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts15,808
AUM (Assets Under Management)$ 4,617,171,037

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

SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908Mclean, VA 22102

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