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Stanley Raphael Pena

Osaic Advisory Services, LLC

The Woodlands, TX

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Current Employers
Osaic Advisory Services, Llc

2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-11-08
  • TX RA
    APPROVED
    Since 2024-11-08

Branch Locations

10001 Woodloch Forest Drive Suite 550, The Woodlands, TX 77380 • 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
Ameriprise Financial Services, Inc. The Woodlands TX 09/2005 07/2021
Arbor Point Advisors The Woodlands TX 07/2021 11/2024
Securities America, Inc. The Woodlands TX 07/2021 06/2024
Osaic Wealth, Inc. The Woodlands TX 06/2024 Present
Osaic Advisory Services, Llc Atlanta GA 11/2024 Present
  • 09/2005 → 07/2021
    Ameriprise Financial Services, Inc.
    The Woodlands, TX
  • 07/2021 → 11/2024
    Arbor Point Advisors
    The Woodlands, TX
  • 07/2021 → 06/2024
    Securities America, Inc.
    The Woodlands, TX
  • 06/2024 → Present
    Osaic Wealth, Inc.
    The Woodlands, TX
  • 11/2024 → Present
    Osaic Advisory Services, Llc
    Atlanta, GA
Previous Registrations
  • 2021-07-29 → 2024-11-08
    Arbor Point Advisors
    The Woodlands, TX
    The Woodlands, TX
  • 2005-08-01 → 2021-08-02
    Ameriprise Financial Services, Llc
    The Woodlands, TX
    The Woodlands, TX
Other Businesses

DBA - Schroeder Wealth Advisors

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-29
S63 Uniform Securities Agent State Law Examination 2000-01-11
  • S66 Uniform Combined State Law Examination
    2005-07-29
  • S63 Uniform Securities Agent State Law Examination
    2000-01-11
Designations
Other Names
  • Stan Raphael Pena

View on SEC IAPD

Other Firms

PROVIDENT WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J. W. COLE ADVISORS, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ROSSBY FINANCIAL, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
ALLSTATE FINANCIAL ADVISORS, LLC
PFS INVESTMENTS INC.

Other Investors

DANIEL CORAL GOODWIN
Jeffrey Douglas Hackett
KRISTIN LEE SANDERS
JENNIFER JOYCE CHACHERE
LEISL MAJ DODSON
THOMAS JAMES HAYES
JAMES ALBERT MAHDAK
SUSAN MARIE HILL

Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

More in The Woodlands, TX

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