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Alfonso R Pena

Morgan Stanley

Morristown, NJ

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2014-03-07
TX RA APPROVED 2014-02-28
  • NJ RA
    APPROVED
    Since 2014-03-07
  • TX RA
    APPROVED
    Since 2014-02-28

Branch Locations

340 Mount Kemble Avenue, Morristown, NJ 07960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Florham Park NJ 02/2014 Present
Previous Registrations
  • 2008-12-22 → 2014-02-27
    Ubs Financial Services Inc.
    Weehawken, NJ
    Weehawken, NJ
    Charlotte, NC
    Weehawken, NJ
  • 2004-10-20 → 2004-10-29
    Banc Of America Investment Services, Inc.
    New York, NY
  • 2002-12-11 → 2004-10-20
    Quick & Reilly, Inc.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-20
S65 Uniform Investment Adviser Law Examination 1996-09-10
S63 Uniform Securities Agent State Law Examination 1996-08-30
  • S66 Uniform Combined State Law Examination
    2008-12-20
  • S65 Uniform Investment Adviser Law Examination
    1996-09-10
  • S63 Uniform Securities Agent State Law Examination
    1996-08-30
Other Names
  • Al Pena
  • Alfonso Rafael Pena

View on SEC IAPD

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Other Offices

EDWARD JONES · MORRISTOWN, NJ
CIRCLE SQUARED ALTERNATIVE INVESTMENTS, LLC · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
KIELY CAPITAL MANAGEMENT, INC. · MORRISTOWN, NJ
LPL FINANCIAL LLC · MORRISTOWN, NJ
MML INVESTORS SERVICES, LLC · Morristown, NJ
EQUITABLE ADVISORS, LLC · MORRISTOWN, NJ
HIMCO, LLC · MORRISTOWN, NJ

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