Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Stephen Serio is a financial advisor with over 27 years of experience in the industry. Mark has been registered with Morgan Stanley since June 2009 and is licensed to provide financial advice in multiple states. Mark has previously worked with Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated and Prudential Securities Incorporated. Mark holds a Series 7, Series 63, and Series 65 licenses. Mark specializes in financial planning, portfolio management and investment advice for a variety of 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.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/15/2020 - Present
Morgan Stanley (Sarasota FL)
FL
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SARASOTA FL)
MD
02/18/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
05/23/1995 - 03/02/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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