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RS

Richard L. Serrano

PLURIS CAPITAL GROUP
BROOKLYN, NY 11218
Some features on this profile are disabled
CRD#: 1801669
RS

Professional summary

Richard Louis Serrano is a registered financial professional currently at PLURIS CAPITAL GROUP, INC. located in Brooklyn, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Richard Louis Serrano's CRS (Customer Relationship Summary).
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

January 23, 2017 - Present

PLURIS CAPITAL GROUP, INC.

Office #1: 204 East 3rd Street, Brooklyn, NY 11218
BD
CRD#: 30811
BROOKLYN, NY
Past

November 1, 2005 - July 23, 2015

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

May 31, 2002 - March 14, 2006

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

August 20, 1993 - November 9, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 8, 1989 - August 19, 1991

HENRY ANSBACHER INC.

BD
CRD#: 20899

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/8/2017)
RR
Connecticut
(5/24/2023)
RR
Georgia
(12/8/2017)
RR
New York
(1/23/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PLURIS CAPITAL GROUP, INC.
J.H. LILLIAN SECURITIES CORP. | PLURIS CAPITAL GROUP, INC.

CRD#: 30811 / SEC#: , 8-45179

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
204 East 3rd Street, Brooklyn, NY 11218
Mailing Address
204 E. 3rd Street, Brooklyn, NY 11218
Phone number
(917) 304-3325
Established
New York since 09/08/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MJS CAPITAL ACQUISTION PARTNERS, LLC100% SHAREHOLDER
FLETCHER, JOHNCEO/CCO/COO/FINANCIAL AND OPERATIONS PRINCIPAL2750926

Disclosures

Regulatory Event3

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.

Company Information

PLURIS CAPITAL GROUP, INC.

CRD#: 30811Brooklyn, NY 11218

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