Gregory Serras
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.
Gregory Serras was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 3 firms and has passed the Series 63, SIE, Series 15, Series 3, Series 7, Series 53, Series 4, Series 27 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
April 7, 2003 - December 31, 2016
VANGUARD CAPITAL
June 17, 1988 - December 31, 2016
VANGUARD CAPITAL
July 28, 1987 - November 12, 1987
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
September 23, 1983 - January 2, 1987
FIRST AFFILIATED 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
Series 15
Date: 12/20/1990
Foreign Currency Options ExaminationCurrent Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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