Dion R. Serventi
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.
Dion Roy Serventi, who also goes by Dion Roy Javier Serventi, Dion Serventi, Roy Serventi, was a registered financial professional .
Dion is a previously registered financial professional and started their career in finance in 1987. Dion had worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 6, Series 14 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
May 14, 2019 - August 24, 2021
WADDELL & REED
May 14, 2019 - August 23, 2021
WADDELL & REED
February 26, 2015 - December 7, 2018
BBVA SECURITIES INC.
April 15, 2013 - August 5, 2014
WOODBURY FINANCIAL SERVICES, INC.
July 27, 2012 - August 5, 2014
OSAIC SERVICES, INC.
July 27, 2012 - August 5, 2014
FSC SECURITIES CORPORATION
November 30, 2011 - August 5, 2014
OSAIC WEALTH, INC.
March 12, 2009 - February 7, 2012
WM. H. MURPHY & CO., INC.
February 14, 2008 - January 9, 2009
STARLIGHT FUNDING INVESTMENTS, LLC
January 10, 2006 - May 3, 2006
WEDBUSH SECURITIES INC.
December 6, 1993 - July 24, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1987 - October 1, 1988
PRINCIPAL 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 7TO
Date: 3/30/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/30/2024
Investment Banking Registered Representative ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
