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Michael Andrew Serafin

TWO Sigma Securities, LLC

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About Michael Andrew Serafin

Michael Andrew Serafin is a financial professional with over 16 years of experience in the financial services industry. Michael has a broad range of experience, having worked at both NSX Securities LLC and Two Sigma Securities, LLC. Michael holds a variety of licenses and registrations, including Series 7, 24, 55, 63, 99TO, and SIE. Michael is registered in Connecticut and New York. Michael currently works at Two Sigma Securities, LLC.

Firm Information

Michael Serafin is currently registered with TWO Sigma Securities, LLC. TWO Sigma Securities, LLC is a Limited Liability Company formed on October 3, 2008. The firm is registered in Connecticut and New York and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

38

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Michael Serafin’s Registration & Firm History

NJ

10/08/2014 - Present

TWO Sigma Securities, LLC (BAYONNE NJ)

NJ

02/21/2007 - 08/11/2014

NSX SECURITIES LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 07/12/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/11/2017

Series 4 - Registered Options Principal Examination

BC

Issued 02/27/2012

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2014

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/20/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael Andrew Serafin.
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