Best Investors
Account
Sign in
Best Investors
Account
Sign in
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-24 |
| CT | RA | APPROVED | 2022-06-10 |
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
90 Park Ave 17Th Fl, New York, NY 10016 • United States
8 Wright Street Suite 107, Westport, CT 06880 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 11/2003 | 11/2017 |
| Northwestern Mutual Investment Services, Llc. | Norwalk | CT | 12/2004 | 11/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 11/2017 |
| Mass Mutual Life Insurance Company | Westport | CT | 05/2018 | Present |
| Mml Investors Services, Llc | Westport | CT | 05/2018 | Present |
| Modus Park Associates | New York | NY | 02/2018 | 01/2024 |
(1) Name: Warren Pena / Fifth Avenue Financial Inv Rel: Y Add: 90 Park Avenue 17th Floor New York NY 10016 Nature: Outside Insurance; Individual Life and Health Insurance Position: Sales/Agent Start date: 01/01/2023 No. HR/MO: 10 No. HR/MO during sec trading:10 Describe duties: Individual Life, Health & Group Health (2) NAME: SoNo Financial LLC, INV REL: Y ADD: 8 Wright St., Suite 107, Westport, CT 06880 NATURE: LLC for pass through compensation, POSITION: Owner, START DATE: 12/31/2024, NO. HR/MO: 0, NO. HR/MO DURING SEC TRADING: 0, DESCRIBE DUTIES: Ownership entity for accounting and bookkeeping.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-01 |
Reach out to this advisor