Norma PenaCRD Number: 2215449
Current Firm: Lpl Financial LLC
Norma Pena (CRD# 2215449) is an Investment Advisor Representative working at Lpl Financial LLC in Richmond, TX and has over 30 years of experience in the finance industry.
The Goff Financial Group
Avidian Wealth Solutions, LLC
Nxt:gen Financial Planning
|Lpl Financial LLC||Richmond, TX||Jul 2021 - Current||1|
|Various Insurance Carriers||Richmond, TX||Mar 1992 - Jul 2021||29|
|Waddell & Reed, Inc.||Richmond, TX||Feb 1992 - Jul 2021||29|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management404,176MILLIONS
Total Number of Accounts1,517,995ACCOUNTS
Average Account Value$266,257
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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