Priscilla Pena

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-01-02
FL	RA	APPROVED	2025-11-19

TX RA
APPROVED_RES

Since 2026-01-02
FL RA
APPROVED

Since 2025-11-19

Branch Locations

1108 Kane Concourse, Bay Harbor Islands, FL 33154 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Phoenix Financial Services	Ft Lauderdale	FL	12/2022	06/2025
Homeforsalemiamifl.cOm	Miami	FL	08/2019	11/2025
Ocean Cadillac	Miami	FL	08/2022	11/2022
Comcast	Minneapolis	MN	10/2017	03/2019
Safe Haven (Adt)	St Paul	MN	07/2017	09/2017
Movado	Eagan	MN	09/2016	02/2018
Perfumania	Eagan	MN	04/2015	07/2017
Unemployed	Miami	FL	03/2019	08/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bay Harbor Islands	FL	10/2025	Present
Western &Amp; Southern Life	Miramar	FL	08/2025	10/2025
Sandbar Kitchen	North Miami Beach	FL	05/2022	07/2022
Bank Of America, N.A.	Bay Harbor Islands	FL	01/2026	Present

12/2022 → 06/2025

Phoenix Financial Services

Ft Lauderdale, FL
08/2019 → 11/2025

Homeforsalemiamifl.cOm

Miami, FL
08/2022 → 11/2022

Ocean Cadillac

Miami, FL
10/2017 → 03/2019

Comcast

Minneapolis, MN
07/2017 → 09/2017

Safe Haven (Adt)

St Paul, MN
09/2016 → 02/2018

Movado

Eagan, MN
04/2015 → 07/2017

Perfumania

Eagan, MN
03/2019 → 08/2019

Unemployed

Miami, FL
10/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bay Harbor Islands, FL
08/2025 → 10/2025

Western &Amp; Southern Life

Miramar, FL
05/2022 → 07/2022

Sandbar Kitchen

North Miami Beach, FL
01/2026 → Present

Bank Of America, N.A.

Bay Harbor Islands, FL

Other Businesses

homeforsalemiamifl.com; Non investment related business; 1680 Michigan Ave Miami South Beach FL 33139; Real estate agent; Ms. Pena's obligation pertain to representing buyers and sellers on contracts for properties; 2 non market hours per month; 2 market hours per month; Paid on a commission basis; Does not associate with PHX business. I*3172279 Entity Type: Entity For Profit Name of OBA: Priscilla Pena Address: Miramar, Florida, 33029 Investment Related: No Position, Title, Association: Owner Employee Start Date: 12/03/2025 Number of Hours: 4, Weekly Number of Hours during trading: 0, Weekly Duties: Art Create Art and Display them at art events/fairs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-10-09
S63	Uniform Securities Agent State Law Examination	2023-07-01

S66 Uniform Combined State Law Examination

2025-10-09
S63 Uniform Securities Agent State Law Examination

2023-07-01

Other Names

Priscilla Magdalena Pena - Arce
Priscilla Magdalena Pena

View on SEC IAPD