Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vanessa? Claim Your ProfileVanessa Alvarado Serrato is an investment professional with over 11 years of experience in the financial services industry. Vanessa is currently registered with Ameriprise Financial Services, LLC in California and Texas. Vanessa previously worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and J.P. MORGAN SECURITIES LLC, both in California. Vanessa has a strong track record of success in providing financial advice and investment management services to individuals, families, and businesses. Vanessa holds Series 6, 7, 24, 63, and 66 securities licenses and is also registered as an Investment Advisor Representative in California and Texas. Vanessa is committed to helping her clients achieve their financial goals.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CA
08/31/2017 - Present
Ameriprise Financial Services, LLC (WESTLAKE VILLAGE CA)
CA
06/03/2015 - 06/14/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
10/01/2012 - 12/04/2014
J.P. MORGAN SECURITIES LLC (PORT HUENEME CA)
CA
08/14/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PORT HUENEME CA)
BOTH
Issued 03/31/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/22/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2015
Series 7 - General Securities Representative Examination
BC
Issued 08/13/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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