Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Serna is a financial professional with over 20 years of experience in the financial services industry. Richard is currently registered with Nylife Securities LLC and holds the Series 6 and Series 63 licenses. Richard is a member of FINRA and has been registered with the state of New Jersey since November 2018.
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.
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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NJ
11/27/2018 - Present
Nylife Securities LLC (EDISON NJ)
NJ
01/09/2013 - 11/01/2018
PNC INVESTMENTS (PARSIPPANY NJ)
NJ
10/01/2012 - 12/07/2012
J.P. MORGAN SECURITIES LLC (UNION NJ)
NJ
11/27/2002 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (UNION NJ)
NY
03/26/2002 - 10/29/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BC
Issued 11/12/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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