Jose Miguel Pena

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2025-03-21
FL	RA	APPROVED	2015-08-03
TX	RA	APPROVED_RES	2015-07-31

GA RA
APPROVED

Since 2025-03-21
FL RA
APPROVED

Since 2015-08-03
TX RA
APPROVED_RES

Since 2015-07-31

Branch Locations

Georgetown, GA • United States

20807 Biscayne Boulevard 5Th&6Th Floor, Aventura, FL 33180 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	Aventura	FL	07/2015	Present
Morgan Stanley Private Bank, National Association	New York	NY	08/2015	Present

07/2015 → Present

Morgan Stanley

Aventura, FL
08/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2007-01-12 → 2015-08-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL
2003-07-01 → 2007-01-16

Wells Fargo Clearing Services, Llc

Coral Gables, FL

Coral Gables, FL
1999-07-23 → 2003-07-01

Prudential Equity Group, Llc

Coral Gables, FL

Other Businesses

Penarus 5, LLC; HIALEAH, FL; Realestate Holding; Owner; 01 Feb 2017; During Business hours: 0, After Business hours: 1 WWCD of Florida; Not Investment related; Personal property / recreational; share holder; 02/2011; 0,0 *424676 - Pinocchio 5 R US, LLC; Investment related: Yes; Hialeah, Florida; Real Estate; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 02/2021; During business hours: 0; After business hours: 1; Property Management

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-16
S63	Uniform Securities Agent State Law Examination	1999-07-30

S65 Uniform Investment Adviser Law Examination

1999-09-16
S63 Uniform Securities Agent State Law Examination

1999-07-30

Designations

Certified Financial Planner

View on SEC IAPD