Jonathan Charles Penta

Current Employers

Empirical Asset Management, Llc

57 River Street Suite 301, Wellesley, MA 02481 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2022-01-19

MA RA
APPROVED

Since 2022-01-19

Branch Locations

57 River Street Suite 301, Wellesley, MA 02481 • United States

Disclosures

3 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Wellesly	MA	03/2007	04/2019
Savior Wealth, Llc	Waltham	MA	04/2019	08/2021
Purshe Kaplan Sterling Investments	Albany	NY	08/2019	10/2019
Empirical Asset Management, Llc D/B/A Penta Wealth Management	Wellesley	MA	08/2021	Present

03/2007 → 04/2019

Ubs Financial Services Inc

Wellesly, MA
04/2019 → 08/2021

Savior Wealth, Llc

Waltham, MA
08/2019 → 10/2019

Purshe Kaplan Sterling Investments

Albany, NY
08/2021 → Present

Empirical Asset Management, Llc D/B/A Penta Wealth Management

Wellesley, MA

Previous Registrations

2019-04-24 → 2021-09-09

Savior Wealth

Wellesley, MA
2007-03-02 → 2019-05-03

Ubs Financial Services Inc.

Wellesley, MA
2006-09-08 → 2007-03-05

Morgan Stanley Dw Inc.

Wellesley, MA

Wellesley, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-09-25

S66 Uniform Combined State Law Examination

2001-09-25

Other Names

Jonathan C Penta

View on SEC IAPD

Current Employers

Empirical Asset Management, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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