Warren A Pena
Investment adviser representative at MML Investors Services, LLC
23 yearsExperience
3 statesRegistered in
CFP® certificationDesignation
$115.6BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
23 years in the industry.
- MML Investors Services, LLCMay 2018 to now
- Mass Mutual Life Insurance CompanyMay 2018 to now
- Modus Park AssociatesFeb 2018 to Jan 2024
- Northwestern Mutual Wealth Management CompanyJan 2016 to Nov 2017
- Northwestern Mutual Investment Services, LLC.Dec 2004 to Nov 2017
- Northwestern Mutual Life Insurance CompanyNov 2003 to Nov 2017
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2005
- Series 65 · Uniform Investment Adviser Law2020
State registrations
Registered as an investment adviser representative in 3 states (CT, NY, TX).
MML Investors Services, LLC
$115.6BAssets managed
454,836Clients
5,087Advisers
33 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4698339
- Firm CRD
- 10409