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Diana Carolina Serrano

Raymond James Financial Services, Inc.

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About Diana Carolina Serrano

Diana Serrano is a financial professional with over two years of experience in the industry. Diana is currently registered with Raymond James Financial Services, Inc. and holds Series 6, Series 63, and SIE licenses. Diana has previously been employed by T. Rowe Price Investment Services, Inc. Diana has a proven track record of providing exceptional service to clients and is committed to helping them achieve their financial goals.

Firm Information

Diana Serrano is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Diana Serrano’s Registration & Firm History

FL

03/24/2021 - Present

Raymond James Financial Services, Inc. (ST PETERSBURG FL)

FL

12/08/2017 - 07/16/2019

T. ROWE PRICE INVESTMENT SERVICES, INC. (TAMPA FL)

FL

03/22/2017 - 04/28/2017

T. ROWE PRICE INVESTMENT SERVICES, INC. (TAMPA FL)

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Licenses & Designations

BC

Issued 06/15/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2017

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Diana Carolina Serrano. Review regulatory record here.
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