Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Serocke is a financial advisor with Wells Fargo Clearing Services, LLC. John has been in the industry since 1994 and has held registrations with various firms, including Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John holds the Series 63, 65, 7, and SIE licenses and is registered in several states. John has a history of providing financial advice to a wide range of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. John also manages rental properties owned by himself and his wife.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
NJ
12/12/2024 - Present
Wells Fargo Clearing Services, LLC (PARAMUS NJ)
NJ
06/01/2009 - 05/27/2014
MORGAN STANLEY (RIDGEWOOD NJ)
NJ
04/27/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RIDGEWOOD NJ)
NJ
08/25/1999 - 05/08/2007
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
NY
08/11/1994 - 08/27/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 09/21/1994
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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