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Nicole Morgan Serio

Hightower Securities, LLC

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About Nicole Morgan Serio

Nicole Morgan Serio is a financial professional with Hightower Securities, LLC. Nicole has passed the Series 7TO, SIE and Series 66 exams and has been in the industry since November 23, 2021. Nicole is currently registered with FINRA and is active in the Broker-Dealer space.

Firm Information

Nicole Serio is currently registered with Hightower Securities, LLC. Hightower Securities, LLC is a Limited Liability Company formed on June 28, 2001. It is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. It has been approved by the SEC. Hightower Securities, LLC has disclosed 5 regulatory events and 1 arbitration.

Not reported

Assets Under Management

Not reported

Total Clients

62

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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Nicole Serio’s Registration & Firm History

NY

11/24/2021 - Present

Hightower Securities, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/07/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/23/2021

Series 7TO - General Securities Representative Examination

BC

Issued 04/06/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Morgan Serio.
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