Julio E. Serrano
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.
Julio Enrique Serrano, who also goes by Julio E Serrano, was a registered financial professional .
Julio is a previously registered financial professional and started their career in finance in 1997. Julio had worked at 5 firms and has passed the Series 63, Series 55, Series 62 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2009 - June 15, 2009
CAPITAL PATH SECURITIES, LLC
December 10, 2008 - January 30, 2009
KENSINGTON CAPITAL CORP.
February 12, 2008 - November 25, 2008
BISHOP, ROSEN & CO., INC.
January 22, 2008 - February 26, 2008
AMERICAN CAPITAL PARTNERS, LLC
September 26, 2005 - January 18, 2008
BASIC INVESTORS INC.
May 5, 1998 - September 29, 2005
KENSINGTON CAPITAL CORP.
December 22, 1997 - June 17, 1998
BISHOP, ROSEN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/25/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 4/9/1998
Corporate Securities Limited Representative ExaminationSeries 11
Date: 12/18/1997
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CAPITAL PATH SECURITIES, LLC
CRD#: 104363 / SEC#: , 8-52824
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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