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Victor H Pena

Morgan Stanley

Westport, CT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-02-21
TX RA APPROVED 2025-02-21
VT RA APPROVED 2025-02-21
  • CT RA
    APPROVED
    Since 2025-02-21
  • TX RA
    APPROVED
    Since 2025-02-21
  • VT RA
    APPROVED
    Since 2025-02-21

Branch Locations

500 Post Road East 3Rd Floor, Westport, CT 06880 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 09/2014 02/2025
Bank Of America, N.A. Stamford CT 05/2015 02/2025
Morgan Stanley Smith Barney Llc Westport CT 02/2025 Present
Morgan Stanley Private Bank, N.A New York NY 03/2025 Present
  • 09/2014 → 02/2025
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Stamford, CT
  • 05/2015 → 02/2025
    Bank Of America, N.A.
    Stamford, CT
  • 02/2025 → Present
    Morgan Stanley Smith Barney Llc
    Westport, CT
  • 03/2025 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-12
  • S66 Uniform Combined State Law Examination
    2015-02-12
Designations
Other Names
  • Victor H Pena

View on SEC IAPD

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Other Offices

QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT
WELLS FARGO CLEARING SERVICES, LLC · WESTPORT, CT

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