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Serena Marie Rizzo

Axos Clearing LLC

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About Serena Marie Rizzo

Serena Marie Rizzo is a financial professional with over two years of experience in the financial industry. Currently, Serena is registered with Axos Clearing LLC in Centennial, Colorado. Serena has a strong understanding of the financial markets and is committed to providing her clients with personalized financial advice. Prior to joining Axos Clearing LLC, Serena worked at Robinhood Financial, LLC, Goldman Sachs & Co. LLC and Mercer Allied Company, L.P. Serena holds Series 63, 65, 7TO and SIE licenses.

Firm Information

Serena Rizzo is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

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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Serena Rizzo’s Registration & Firm History

CO

04/28/2023 - Present

Axos Clearing LLC (CENTENNIAL CO)

CO

03/16/2021 - 08/10/2022

ROBINHOOD FINANCIAL, LLC (Denver CO)

NY

01/04/2021 - 03/04/2021

GOLDMAN SACHS & CO. LLC (COHOES NY)

NY

10/06/2020 - 01/04/2021

MERCER ALLIED COMPANY, L.P. (COHOES NY)

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Licenses & Designations

BC

Issued 11/10/2020

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 11/19/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/06/2020

Series 7TO - General Securities Representative Examination

BC

Issued 01/22/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Serena Marie Rizzo.
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