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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erica? Claim Your ProfileErica Serrano is a financial advisor with over 5 years of experience in the industry. Erica is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where she has been employed since June 2019. Prior to joining Merrill Lynch, Erica worked at CHARLES SCHWAB & CO., INC. and USAA FINANCIAL ADVISORS, INC. She is a licensed investment advisor representative (IAR) and holds Series 7, 9, 10, 63, and 65 licenses. Erica specializes in working with individuals, families, and businesses to provide a range of financial services, including investment management, retirement planning, and estate planning. Erica holds a number of designations including Series 7, 9, 10, 63, and 65. Erica is committed to providing her clients with personalized advice and guidance to help them 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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
08/23/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
TX
12/09/2016 - 04/29/2019
CHARLES SCHWAB & CO., INC. (El Paso TX)
TX
01/15/2014 - 07/07/2016
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
IA
Issued 8/22/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/3/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/20/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/10/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/15/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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