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Ivan Pena

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD #5373097Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
States Registered
21 states

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 21 states
ArizonaCaliforniaColoradoDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaMarylandMichiganNevadaNew JerseyNew YorkNorth CarolinaPennsylvaniaPuerto RicoSouth DakotaTexasVirginiaWashington

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

MERRILL Lynch, Pierce, FENNER & SMITH INCORPORATED Form ADV Part 2A (Item 5), most recent annual amendment.

Official records & sources

Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ivan Pena has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Ivan Pena - Financial Advisor | AdvisorFinder