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Nathaniel Pena-Alfaro

Strategic Advisers LLC

Plano, TX

Lavon, TX

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Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

5905 Legacy Dr Suite A100, Plano, TX 75024-4118 • United States

Lavon, TX • 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
Axa Advisors, Llc New York NY 06/2019 06/2020
Floor And Decor Arlington TX 05/2016 05/2017
1-800 Radiator Of Dfw Dallas TX 05/2017 06/2019
Equitable Advisors, Llc New York NY 06/2019 04/2021
Fidelity Investments Westlake TX 04/2021 Present
Fidelity Investments Boston MA 03/2025 Present
  • 06/2019 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 05/2016 → 05/2017
    Floor And Decor
    Arlington, TX
  • 05/2017 → 06/2019
    1-800 Radiator Of Dfw
    Dallas, TX
  • 06/2019 → 04/2021
    Equitable Advisors, Llc
    New York, NY
  • 04/2021 → Present
    Fidelity Investments
    Westlake, TX
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2021-08-20 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Westlake, TX
Other Businesses

OBA-122943|OrgNmn:N&N Fine Jewelry LLC|Org Addr:LAVON,Texas,US|OBA Nature:Starting a Jewelry Company sel|Invst Rel:N|Title:Sole Proprietor|Duties:Buying gold and silver jewelry wholesale from italy to sell here in the US. Will be in charge of marketing, storage, selling and maintaiing th|StrtDt:|TotHrs/mon:30|TrdHrs/mon:0|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-18
S63 Uniform Securities Agent State Law Examination 2019-08-09
  • S66 Uniform Combined State Law Examination
    2021-08-18
  • S63 Uniform Securities Agent State Law Examination
    2019-08-09
Other Names
  • Nate Pena-Alfaro
  • Nathaniel Pena-Alfaro
  • Nathaniel Pena Alfaro

View on SEC IAPD

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