Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Bio is a financial professional with over 25 years of experience in the financial services industry. Sergio is currently registered with State Farm Investment Management Corp. as a Registered Representative (RR) and Investment Advisor Representative (IAR) in New Jersey. Sergio has previously held positions at a number of other firms, including Financial Network Investment Corporation, Invest Financial Corporation, MetLife Securities Inc., Metropolitan Life Insurance Company, NFB Investment Services Corp., Quick & Reilly, Inc., First Union Securities, Inc., First Union Brokerage Services, Inc., A.S. Goldmen & Co., Inc., JW Charles Securities,INC. and Gruntal & Co. Incorporated.
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.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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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NJ
09/30/2022 - Present
State Farm Investment Management Corp. (Clifton NJ)
NJ
11/05/2007 - 05/29/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (EDISON NJ)
WI
09/14/2006 - 10/25/2006
INVEST FINANCIAL CORPORATION (APPLETON WI)
NJ
12/09/2005 - 09/21/2006
METLIFE SECURITIES INC. (ROSELAND NJ)
NJ
12/09/2005 - 09/21/2006
METROPOLITAN LIFE INSURANCE COMPANY (ROSELAND NJ)
NY
05/18/2004 - 10/11/2005
NFB INVESTMENT SERVICES CORP. (MELVILLE NY)
WI
10/06/2003 - 06/02/2004
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
07/18/2001 - 05/29/2003
QUICK & REILLY, INC. (NEW YORK NY)
MO
10/01/2000 - 07/02/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
03/25/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
12/08/1994 - 08/22/1996
A.S. GOLDMEN & CO., INC. (RED BANK NJ)
FL
09/16/1994 - 12/07/1994
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
NY
05/16/1994 - 08/23/1994
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BOTH
Issued 12/13/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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