Casey Lee Scott Pena

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-06-20

CA RA
APPROVED

Since 2019-06-20

Branch Locations

1600 South Main Street Suite 315, Walnut Creek, CA 94596 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Foresters Financial	Walnut Creek	CA	01/2011	06/2018
Foresters Financial Services	Walnut Creek	CA	06/2018	06/2019
Cetera Investment Services Llc	St Cloud	MN	06/2019	Present
Cetera Investment Advisers Llc	Walnut Creek	CA	06/2019	Present

01/2011 → 06/2018

Foresters Financial

Walnut Creek, CA
06/2018 → 06/2019

Foresters Financial Services

Walnut Creek, CA
06/2019 → Present

Cetera Investment Services Llc

St Cloud, MN
06/2019 → Present

Cetera Investment Advisers Llc

Walnut Creek, CA

Previous Registrations

2013-08-06 → 2019-06-20

Foresters Advisory Services, Llc

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-29
S63	Uniform Securities Agent State Law Examination	2002-11-22

S66 Uniform Combined State Law Examination

2013-07-29
S63 Uniform Securities Agent State Law Examination

2002-11-22

Other Names

Casey Leescott Pena

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews