Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis E Serrano is a financial advisor with over 15 years of experience in the financial services industry. Luis E Serrano currently works as a registered representative with UBS Financial Services Inc. Previously, Luis E Serrano has worked with Credit Suisse Securities (USA) LLC, J.P. Morgan Securities LLC, and Chase Investment Services Corp. Luis E Serrano holds Series 6, 7, 9, 10, 63, and SIE licenses. Luis E Serrano is currently registered in New Jersey and New York.
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.
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.
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.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
02/20/2013 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
06/04/2010 - 02/26/2013
J.P. MORGAN SECURITIES LLC (JERSEY CITY NJ)
NY
11/05/2007 - 06/18/2010
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
BC
Issued 10/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/03/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/02/2007
Series 6 - Investment Company Products/Variable Contracts 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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