Amy Alba

PENSERRA GLOBAL INVESTORS LLC

Orinda, CA 94563

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CRD#: 7327672

Professional summary

Amy Alba is a registered financial advisor currently at PENSERRA GLOBAL INVESTORS LLC located in Orinda, California and PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Amy has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Amy Alba'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®

None

Experience

Current

December 14, 2022 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 174309

Orinda, CA

Current

December 14, 2022 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 159042

Orinda, CA

Current

June 22, 2021 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018

CRD#: 145994

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".

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(12/14/2022)

IAR

New York
(12/14/2022)

New York
(8/15/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/22/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/14/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 11,500,000,000

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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Amy Alba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Alba's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA SECURITIES, LLC

Primary Firm SEC Registration

PENSERRA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2022

Series 7TO

Date: 6/22/2021

SIE

Date: 2/14/2021

FINRA

Investors' Exchange LLC

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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