Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Serafin is a registered representative with Maxim Financial Advisors LLC, a registered investment advisor firm with an office in New York. Patricia has been in the financial services industry since 2005. Patricia is licensed in New Jersey and New York. She specializes in providing financial advice to high-net-worth individuals, businesses, and pension and profit-sharing plans. Patricia is committed to helping her clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
08/09/2021 - Present
Maxim Financial Advisors LLC (NEW YORK NY)
NY
09/24/2019 - 10/15/2021
M VEST LLC (NEW YORK NY)
IL
09/27/2006 - 10/09/2007
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
01/01/2001 - 11/13/2001
WEB STREET SECURITIES, INC. (DEERFIELD IL)
BOTH
Issued 09/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/25/2010
Series 4 - Registered Options Principal Examination
BC
Issued 03/13/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2017
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/27/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/26/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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