Carlos M. Sera

SERA CAPITAL MANAGEMENT

Annapolis, MD 21401

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CRD#: 1736186

Professional summary

Carlos Manuel Sera, who also goes by Carl Sera, is a registered financial advisor currently at SERA CAPITAL MANAGEMENT, LLC located in Annapolis, Maryland.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Carlos has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl Sera

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Manuel Sera's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 10, 2007 - Present

SERA CAPITAL MANAGEMENT, LLC

Office #1: 1910 Towne Centre Blvd Suite 250, Annapolis, MD 21401

RIA

CRD#: 120896

Annapolis, MD

Past

July 10, 2007 - April 19, 2016

CHICAGO WEALTH MANAGEMENT, INC.

RIA

CRD#: 112271

BOWIE, MD

Past

November 15, 1990 - July 23, 1991

CHESAPEAKE SECURITIES RESEARCH CORPORATION

CRD#: 14161

SEVERNA PARK, MD

Past

November 3, 1987 - August 2, 1990

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 30, 1987 - November 4, 1987

LEGG MASON MASTEN INC.

CRD#: 2

Past

October 21, 1987 - October 31, 1987

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(7/10/2007)

IAR

Texas
(4/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/6/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Current Firm

SERA CAPITAL MANAGEMENT, LLC

FINANCIAL TALES | STRATEGIC ASSET MANAGEMENT, LTD. | SERA CAPITAL MANAGEMENT, LLC | SERA CAPITAL MANAGEMENT LIMITED LIABILITY COMPANY | SERA CAPITAL

CRD#: 120896 / SEC#:

Maryland

Registered Investment Advisory firm - (6/19/1991 Approved)

Texas

Registered Investment Advisory firm - (4/24/2021 Conditional Restricted)

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Contact information

Main Address

1910 Towne Centre Blvd Suite 250, Annapolis, MD 21401

Mailing Address

Phone number

(301) 464-8333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	106
AUM (Assets Under Management)	$ 83,000,000

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.

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Carlos M. Sera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Manuel Sera's CRS (Customer Relationship Summary).

Certified licenses

Experience

SERA CAPITAL MANAGEMENT, LLC

CHICAGO WEALTH MANAGEMENT, INC.

CHESAPEAKE SECURITIES RESEARCH CORPORATION

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON MASTEN INC.

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/1996

Series 63

Date: 10/30/1987

Series 3

Date: 1/6/1992

Series 7

Date: 10/17/1987

Current Firm

SERA CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SERA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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