Norma Olivia Pena

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1992 → 07/2021
  Waddell & Reed, Inc.
  Richmond, TX
• 03/1992 → 07/2021
  Various Insurance Carriers
  Richmond, TX
• 07/2021 → Present
  Lpl Financial Llc
  Richmond, TX

Previous Registrations

• 1993-11-02 → 2021-07-21
  Waddell & Reed
  Richmond, TX
  Webster, TX
  Richmond, TX
  Edmond, OK
  Edmond, OK
  Houston, TX
  Webster, TX
  Edmond, OK

Other Businesses

1. 10/03/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 07/20/2021 - 10 Hours Per Month/2 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-09-24

Other Names

• Norma Sanchez
• Norma Pena