Robert E. Serio
Professional summary
Robert Edmund Serio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Robert had worked at 4 firms, which includes TUCKER ANTHONY INCORPORATED, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 1998 - October 11, 2000
TUCKER ANTHONY INCORPORATED
September 19, 1994 - March 4, 1998
UBS FINANCIAL SERVICES INC.
January 28, 1991 - September 30, 1994
KIDDER, PEABODY & CO. INCORPORATED
September 8, 1988 - February 5, 1991
CITIGROUP GLOBAL MARKETS INC.
December 21, 1983 - September 16, 1988
TUCKER ANTHONY INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 3/25/1985
Foreign Currency Options ExaminationCurrent Firm
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
Red Flags
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