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Gilberto R Pena
GILBERT PENA, GILBERTO R. PENA, GILBERTO RODRIGUEZ PENA, GILBERTO PENA
CRD#: 2776780
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 11757 KATY FREEWAY SUITE 970
HOUSTON, TX 77079
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2011 (4 years)2 FIRMS2011 - 2013 (1 year)2 FIRMS2013 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BA I M DISTRIBUTORS, INC. (CRD# 7369)1996 - 2007 (10 years)
License(s)

State Registrations

B
Arizona 11/4/2024

B
Missouri 11/4/2024

B
Arkansas 11/4/2024

B
New Jersey 11/4/2024

B
California 11/4/2024

B
Pennsylvania 11/4/2024

B
Colorado 11/4/2024

B
Texas 11/4/2024

B
Louisiana 11/4/2024

IA
Texas 11/4/2024

B
Michigan 11/4/2024

B
Virginia 11/4/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
11757 KATY FREEWAY SUITE 970, HOUSTON, TX 77079
Registered with this firm since 11/4/2024

B
LPL FINANCIAL LLC (CRD#:6413)
11757 KATY FREEWAY SUITE 970, HOUSTON, TX 77079
Registered with this firm since 11/4/2024

Previous Registration(s)
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IA
04/16/2013 - 11/08/2024 EDWARD JONES (CRD#:250) HOUSTON, TX
B
04/16/2013 - 11/08/2024 EDWARD JONES (CRD#:250) HOUSTON, TX
IA
11/21/2011 - 05/02/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
11/21/2011 - 05/02/2013 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
IA
08/10/2007 - 11/25/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
07/02/2007 - 11/25/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
09/30/1996 - 01/18/2007 A I M DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.