Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Corona is a financial advisor who has been in the industry since 2020. Sergio is currently registered with Morgan Stanley and has a Series 66, Series 7TO, Series 9, Series 10, and SIE licenses. Sergio has experience with NYLIFE Securities LLC and Thrivent Investment Management Inc. Sergio is registered in 54 states and jurisdictions and is active in both the broker-dealer and investment advisor spaces. Sergio's expertise includes asset allocation, financial planning, pension consulting, educational seminars, and selection of other advisors. Sergio provides portfolio management for businesses, individuals, and investment companies.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
10/31/2021 - Present
Morgan Stanley (Houston TX)
TX
09/02/2021 - 10/22/2021
NYLIFE SECURITIES LLC (HOUSTON TX)
TX
09/17/2020 - 07/23/2021
THRIVENT INVESTMENT MANAGEMENT INC. (The Woodlands TX)
BOTH
Issued 10/14/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/17/2020
Series 7TO - General Securities Representative Examination
BC
Issued 07/16/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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