Luis A. Pena

WELCY CAPITAL ADVISORS

MIAMI, FL 33131

CRD#: 8218649

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Professional summary

Luis Alberto Pena is a registered financial advisor currently at WELCY CAPITAL ADVISORS LLC located in Miami, Florida.

Luis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2026. Luis has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

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 Luis Alberto 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

May 1, 2026 - Present

WELCY CAPITAL ADVISORS LLC

Office #1: 1101 Brickell Avenue Suite 1600, Miami, FL 33131

RIA

CRD#: 154782

MIAMI, FL

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".

WELCY CAPITAL ADVISORS LLC

LW INVESTMENT MANAGEMENT (USA) INC. | WELCY CAPITAL ADVISORS LLC | PRINCIPLE ASSET MANAGEMENT LLC | LW PARTNERS | LW INVESTMENT MANAGEMENT (USA) LLC

CRD#: 154782 / SEC#: 801-130588

RIA

Registered Investment Advisory firm - (6/28/2024 Approved)

Florida

Registered Investment Advisory firm - (7/17/2024 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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/1/2026)

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 65

Date: 4/8/2026

Uniform Investment Adviser Law Examination

Current Firm

WELCY CAPITAL ADVISORS LLC

LW INVESTMENT MANAGEMENT (USA) INC. | WELCY CAPITAL ADVISORS LLC | PRINCIPLE ASSET MANAGEMENT LLC | LW PARTNERS | LW INVESTMENT MANAGEMENT (USA) LLC

CRD#: 154782 / SEC#: 801-130588

RIA

Registered Investment Advisory firm - (6/28/2024 Approved)

Florida

Registered Investment Advisory firm - (7/17/2024 Terminated)

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Contact information

Main Address

1101 Brickell Avenue Suite 1600, Miami, FL 33131

Mailing Address

Phone number

(786) 353-0036

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELCY CAPITAL ADVISORS LLC (1/23/2026)

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 183,631,565

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/09/2026	Cover Page	Report
03/05/2025	Cover Page	Report

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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Luis A. Pena

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Alberto Pena's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELCY CAPITAL ADVISORS LLC

Primary Firm SEC Registration

WELCY CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2026

Current Firm

WELCY CAPITAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WELCY CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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