Julio Enrique Serrano
Professional Summary
Julio Enrique Serrano, who also goes by Julio E Serrano, was a registered financial advisor. Julio was a previously registered financial professional and started their career in finance 1997 - 2009. Julio had worked at 5 firms and has passed the Series 63, Series 55, Series 62 and Series 11 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Julio E Serrano
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL PATH SECURITIES, LLC | SFS CAPITAL, LLC
Contact Information
Established
Connecticut since 08/07/2000Firm Type
Limited Liability CompanyFiscal Year End
SeptemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 1999Series 62 — Corporate Securities Limited Representative Examination
Passed Apr 1998Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Dec 1997Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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