Sergei J. Hillery
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.
Sergei Joseph Hillery JR, who also goes by Sergei J Hillery, was a registered financial professional .
Sergei is a previously registered financial professional and started their career in finance in 1987. Sergei had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 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
January 14, 2013 - February 12, 2021
RICE, VOELKER, LLC
November 15, 2010 - January 11, 2013
IBERIA CAPITAL PARTNERS L.L.C.
February 9, 1996 - April 29, 2010
RICE, VOELKER, LLC
February 26, 1991 - February 6, 1996
CAPITAL ONE INVESTMENTS, LLC
May 21, 1987 - February 6, 1991
LEHMAN BROTHERS 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RICE, VOELKER, LLC
CRD#: 39838 / SEC#: , 8-48854
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
