Best Investors Account Sign in

Adam Anthony Pena

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Paramus, NJ

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-31
NJ RA APPROVED 2023-06-06
  • TX RA
    APPROVED_RES
    Since 2023-08-31
  • NJ RA
    APPROVED
    Since 2023-06-06

Branch Locations

115 W Century Rd, Paramus, NJ 07652 • 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
Ubs Financial Services Inc. Weehawken NJ 11/2018 03/2023
Enterprise-Rent-A-Car Fair Lawn NJ 02/2017 11/2018
Capital One Bank Paramus NJ 07/2016 01/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Paramus NJ 05/2023 Present
Fidelity Investments Paramus NJ 03/2023 05/2023
Bank Of America, N.A. Paramus NJ 06/2023 Present
Previous Registrations
  • 2019-05-16 → 2023-03-28
    Ubs Financial Services Inc.
    Weehawken, NJ
    Weehawken, NJ
    Red Bank, NJ
    Red Bank, NJ
    Paramus, NJ
    Florham Park, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-16
  • S66 Uniform Combined State Law Examination
    2019-05-16
Other Names
  • Adam Pena

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
WELLS FARGO INVESTMENT INSTITUTE, INC.
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
SANCTUARY ADVISORS, LLC
ROCKEFELLER FINANCIAL LLC

Other Investors

Jennifer Williams
Claudine D. Isaac
Emma B. Hallett
Inna Price
Daniel K Roh
Thomas W. Larsen
JEREMY DAVID BROWER
Natalia Oliver

Other Offices

J.P. MORGAN SECURITIES LLC · Paramus, NJ
J.P. MORGAN SECURITIES LLC · Paramus, NJ
J.P. MORGAN SECURITIES LLC · Paramus, NJ
WELLS FARGO CLEARING SERVICES, LLC · PARAMUS, NJ
WELLS FARGO CLEARING SERVICES, LLC · PARAMUS, NJ
LPL FINANCIAL LLC · PARAMUS, NJ
WELLS FARGO CLEARING SERVICES, LLC · PARAMUS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PARAMUS, NJ

More in Paramus, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor