About
Frank Pena is Principal at Winthrop Capital Management, LLC, based in Manasquan, NJ, where he oversees client relationships, investment strategy, and business development for the firm. He plays a key role in shaping the firm’s overall approach and maintains direct involvement in portfolio management and advisory services, with a focus on high-net-worth individuals and institutional clients.
He specializes in fixed income securities, municipal bonds, and taxable investments, with expertise spanning government and corporate debt markets. His extensive career includes serving as Vice President at First Fidelity Bank, where he focused on financial services for institutional clients, and as Director of Sales and Marketing at Winthrop Capital Group, strengthening his background in both investment products and client engagement.
Frank holds a Bachelor of Science in Management Science from Kean University and a degree in Chemical Engineering from Stevens Institute of Technology. His diverse academic background reinforces his quantitative and analytical approach to portfolio construction and risk management, making him a trusted leader in the fixed income sector.
Career History
| Organization | Role | Date Range | Details |
|---|---|---|---|
| Winthorp Capital Group | Principal | Jan 2000 to Present | Winthorp Capital Group is a boutique financial consulting company formed in January of 2000 based upon my 37 years of experience in banking and brokerage with employers such as Phillips, Appel & Walde... |
| First Fidelity Bank | Vice President | Dec 1987 to May 1996 | Vice President worked on the retail bank side of the business as well as the Trust Department - both Corporate and Institutional. Experienced in all bank depository products as well as pension and re... |
| Winthorp Capital Group | Director of Sales and Marketing | May 1996 to Dec 1999 | Breen Capital Group was the premier purchaser and servicer of tax liens on a national basis. I developed new business opportunities for Breen such as bulk sales/securitizations of both private and mu... |
| W.R. Valentine, LLC | Principal | Apr 2010 to Present | W.R. Valentine is a boutique merchant banking operation that invests in emerging growth companies that are committed to undertaking some type of "going public" transaction. W.R. Valentine prefers to ... |
| Drexel Burnham Lambert | Vice President | Oct 1985 to Dec 1987 | Vice President in the high net worth private client group responsible for new business regarding firm recommendations & product offerings. Participated in numerous of the firms IPO's which included c... |
| Phillips Appel & Walden | Vice President | Aug 1983 to Sep 1985 | Phillips Appel & Walden was a regional broker dealer specializing in emerging growth companies in technology, biotech and software sectors. While at Phillips we brought public companies such as Enzon... |
Education
Kean University
Bachelor of Science, Management Science
1979 — 1983
Stevens Institute of Technology
Chemical Engineering
1976 — 1978
Roselle Catholic High School
HS, College Prepatory
1972 — 1976
Skills & Expertise
Others at Winthrop Capital Management, LLC (7)
| Name | Role | Location |
|---|---|---|
 | Equity Portfolio Manager and Analyst | Carmel, IN , United States |
K Keith Hanson | Senior Research Analyst | Hilliard, OH , United States |
 | Analyst | Indianapolis, IN , United States |
G George Mullen | Senior Vice President Asset and Construction Management | New York, NY , United States |
 | Senior Investment Analyst | Indianapolis, IN , United States |
M Matthew Hupfer | Research Analyst | Indianapolis, IN , United States |
 | Performance Analyst | Carmel, IN , United States |