Ruben V. Serrano
Professional summary
Ruben Vidallon Serrano was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ruben is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Ruben had worked at 12 firms, which includes MAXIM GROUP LLC, HERBERT J. SIMS & CO INC., WALNUT STREET SECURITIES INC., GLENN MICHAEL FINANCIAL INC., M.S. FARRELL & COMPANY INC., J.P. MORGAN SECURITIES LLC, ADVEST INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., GRUNTAL & CO. L.L.C., CITIGROUP GLOBAL MARKETS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - October 4, 2007
MAXIM GROUP LLC
April 19, 2002 - January 3, 2005
HERBERT J. SIMS & CO, INC.
June 1, 2000 - December 4, 2001
WALNUT STREET SECURITIES, INC.
December 3, 1998 - September 23, 1999
GLENN MICHAEL FINANCIAL, INC.
January 27, 1998 - June 18, 1998
M.S. FARRELL & COMPANY, INC.
May 15, 1995 - March 29, 1996
J.P. MORGAN SECURITIES LLC
August 3, 1994 - May 18, 1995
ADVEST, INC.
October 1, 1992 - July 25, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1990 - October 13, 1992
LEHMAN BROTHERS INC.
June 14, 1988 - October 2, 1990
GRUNTAL & CO., L.L.C.
January 28, 1985 - May 20, 1988
PRUDENTIAL EQUITY GROUP, LLC
June 15, 1984 - December 7, 1984
CITIGROUP GLOBAL MARKETS INC.
September 21, 1983 - June 4, 1984
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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