Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Serna is a financial advisor with Citigroup Global Markets Inc., a firm that has over $50 billion in assets under management. John has been in the financial services industry since 1993. John has held various positions at a number of firms before joining Citigroup Global Markets Inc. In addition to Series 63 and 65, John has the Series 4, 7, 9, 10, 24, 52, and 53 licenses. John is registered in the state of Illinois. John's specializations include fixed income, equities, options, mutual funds, and alternative investments. John provides asset allocation advice, financial planning, and portfolio management services. John's experience and expertise allow him to provide a comprehensive range of services to his clients.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
IL
05/29/2007 - Present
Citigroup Global Markets Inc. (Chicago IL)
IL
05/04/2000 - 05/29/2007
CITICORP INVESTMENT SERVICES (CHICAGO IL)
IL
02/01/1999 - 05/18/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
05/13/1994 - 02/01/1999
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
NY
10/16/1992 - 05/14/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/16/1992 - 05/14/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
CO
07/30/1992 - 09/22/1992
KOBER FINANCIAL CORP. (ENGLEWOOD CO)
NA
07/21/1992 - 07/29/1992
J. W. GANT & ASSOCIATES, INC.
IA
Issued 4/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 6/21/2006
Series 4 - Registered Options Principal Examination
BC
Issued 10/8/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 5/24/2004
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/20/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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