Vincent E. Serhan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vincent Edward Serhan was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1983. Vincent had worked at 8 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1999 - March 16, 1999
STOCK USA, INC.
April 7, 1994 - November 6, 1996
QUEST CAPITAL STRATEGIES, INC.
December 21, 1992 - February 10, 1994
PACIFIC COAST FINANCIAL SECURITIES, INC.
April 21, 1992 - January 1, 1993
INVEST FINANCIAL CORPORATION
December 3, 1985 - March 13, 1992
UBS FINANCIAL SERVICES INC.
September 14, 1983 - July 30, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
September 14, 1983 - July 30, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 1983 - July 30, 1984
IDS LIFE INSURANCE COMPANY
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
STOCK USA, INC.
CRD#: 40687 / SEC#: , 8-49138
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANN, RALPH OLIVER | PRESIDENT AND CEO | 1714858 |
| ALLISON, JOHN DAVID | DIRECTOR | |
| HARRELL, DANIEL PARKER | SHAREHOLDER | |
| VINSON, DENNIS RUDOLPH | SHAREHOLDER AND DIRECTOR | |
| BALLANTYNE, DON LINDSAY | SHAREHOLDER | |
| LEMPERLE, JOHN JAMES | DIRECTOR AND SHAREHOLDER | |
| MALSBARY, RICHARD A | DIRECTOR AND SHAREHOLDER | |
| MURREL, THOMAS W | SHAREHOLDER AND DIRECTOR | |
| WALTON, LAWRENCE LEE | DIRECTOR AND SHAREHOLDER |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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