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Regina Anne Serai

SG Americas Securities, LLC

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About Regina Anne Serai

Regina Serai is a financial advisor with over 20 years of experience in the industry. Regina currently works with SG Americas Securities, LLC and Bernstein Institutional Services LLC. Regina has a strong background in research and analysis, holding licenses for Series 63, Series 24, SIE, Series 16, Series 87, and Series 7.

Firm Information

Regina Serai is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Regina Serai’s Registration & Firm History

NY

04/05/2024 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

04/23/2012 - 03/29/2024

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

09/08/2008 - 08/30/2011

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

08/05/2004 - 07/30/2007

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

11/16/2001 - 07/23/2004

GABELLI & COMPANY, INC. (RYE NY)

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Licenses & Designations

BC

Issued 10/21/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/29/2023

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/2012

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 11/16/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 11/15/2001

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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, 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 Regina Anne Serai.
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