Unclaimed Profile

Stephan Robert Pene

WINDWARD CAPITAL MANAGEMENT CO·LOS ANGELES, California

SIE, Series 4, Series 7, Series 14, Series 24, Series 27, Series 63, Series 99TOClean record21 years registeredWINDWARD CAPITAL MANAGEMENT CO

11111 SANTA MONICA BOULEVARD, LOS ANGELES, CA 90025CRD# 1776808Firm CRD# 106908

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephan Robert Pene · LOS ANGELES, CA

Registration

CRD #1776808 · WINDWARD CAPITAL MANAGEMENT CO · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WINDWARD CAPITAL MANAGEMENT CO

WINDWARD CAPITAL MANAGEMENT CO

Oct 2004 – Feb 2024

LOS ANGELES, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 14

Series 24

Series 27

Series 63

Series 99TO

Registration record

First registered · October 8, 2004

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WINDWARD CAPITAL MANAGEMENT CO

CRD 106908 · SEC 801-50819

AUM

$1.2B

Regulatory assets under management

Employees

216 client accounts

Services offered by WINDWARD CAPITAL MANAGEMENT CO

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

View all advisors at WINDWARD CAPITAL MANAGEMENT CO →

Introduction

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Frequently Asked Questions

What services does Stephan Robert Pene offer?

Stephan Robert Pene specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Stephan Robert Pene's credentials?

Stephan Robert Pene is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephan Robert Pene located?

Stephan Robert Pene is based in LOS ANGELES, California, last registered with WINDWARD CAPITAL MANAGEMENT CO.

How does Stephan Robert Pene charge for services?

Stephan Robert Pene's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WINDWARD CAPITAL MANAGEMENT CO?

WINDWARD CAPITAL MANAGEMENT CO has approximately 9 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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