Melanie Pena

Assistant Vice President, Compliance

(650) 445-0465 | mpena@fsnweb.com

Melanie serves as Assistant Vice President for the Compliance Team at The Financial Services Network and is responsible for supporting LPL Financial corporate advisors in compliance-related matters and associated projects.

Melanie joined The Network in 2016 supporting Network advisors with compliance-related matters. Additionally, Melanie has over 15 years of experience in the financial services industry with a focus on compliance and communications with the public. She has also held various roles within the LPL Financial Marketing Regulatory Review department.

Melanie lives in Southern California with her husband and daughter. In her free time, she enjoys home improvement projects, reading and outdoor activities.

Education

  • Bachelor of Arts, Simpson University

Professional Qualifications

  • Securities registrations Series 7 and 24 held through LPL Financial. Series 66 held through Strategic Wealth Advisors Group, and LPL Financial.
  • FINRA Series 7: General Securities Representative Examination
  • FINRA Series 24: General Securities Principal Qualification Examination
  • FINRA Series 66: NASAA Uniform Combined State Law Examination