Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Enrique Serna is a registered representative with Charles Schwab & CO., Inc. with over 15 years of experience in the financial services industry. Carlos has held various positions at several firms, including Chase Investment Services Corp., Fixed Income Securities, LP, and Zone Trading Partners, LLC. Carlos has expertise in investments, financial planning, and retirement planning. Carlos is committed to providing personalized financial advice and helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
04/14/2016 - Present
Charles Schwab & CO., Inc. (Austin TX)
TX
01/17/2008 - 03/11/2011
CHARLES SCHWAB & CO., INC. (AUSTIN TX)
TX
08/24/2007 - 12/17/2007
CHASE INVESTMENT SERVICES CORP. (AUSTIN TX)
CO
08/16/2005 - 10/31/2005
FIXED INCOME SECURITIES, LP (MONUMENT CO)
TX
11/26/2003 - 09/06/2005
ZONE TRADING PARTNERS, LLC (AUSTIN TX)
NY
03/31/2003 - 10/24/2003
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 04/14/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/10/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/2015
Series 7 - General Securities Representative Examination
BC
Issued 12/17/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/28/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Carlos Serna is the right advisor for you? Invested Better is here to help.
