Inactive

Julizza Pena

Ernst & Young Investment Advisers LLP

CRD 5585961

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Employer firm

Ernst & Young Investment Advisers LLP CRD 110921

30 advisory clients

Reported services (Item 5G)

Financial planning
Periodicals / newsletters
Educational seminars

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

Current Employers

Ernst & Young Investment Advisers Llp

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2010-10-14

NJ RA
APPROVED

Since 2010-10-14

Branch Locations

200 Plaza Drive Suite 2222, Secaucus, NJ 07094 • United States

Wallington, NJ • 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

Organization	City	State	From	To
Ernst And Young Llp	Secaucus	NJ	11/2009	03/2020
Unemployed	Nutley	NJ	03/2020	10/2021
Tapfin/Ey	Secaucus	NJ	10/2021	Present

11/2009 → 03/2020

Ernst And Young Llp

Secaucus, NJ
03/2020 → 10/2021

Unemployed

Nutley, NJ
10/2021 → Present

Tapfin/Ey

Secaucus, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-10-11
S63	Uniform Securities Agent State Law Examination	2009-05-08

S65 Uniform Investment Adviser Law Examination

2010-10-11
S63 Uniform Securities Agent State Law Examination

2009-05-08

View on SEC IAPD

Nearby Firms

J.P. MORGAN SECURITIES LLC

EQUITABLE ADVISORS, LLC

SANTANDER SECURITIES LLC

Nearby Investors

Nicholas Farkas

Nearby Offices

ERNST & YOUNG INVESTMENT ADVISERS LLP · SECAUCUS, NJ

ERNST & YOUNG INVESTMENT ADVISERS LLP · SECAUCUS, NJ

ERNST & YOUNG INVESTMENT ADVISERS LLP · SECAUCUS, NJ

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