Guy M. Serrano
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.
Guy Murry Serrano was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1988. Guy had worked at 10 firms and has passed the Series 63, 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
March 29, 2012 - April 30, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
March 6, 2006 - April 30, 2010
WESTPARK CAPITAL, INC.
February 28, 2006 - March 2, 2006
SECURITRADE CORPORATION
March 28, 2002 - February 28, 2006
SALOMON GREY FINANCIAL CORPORATION
April 16, 2001 - March 6, 2002
HILLTOP SECURITIES INC.
June 25, 1997 - May 9, 2001
JOSEPHTHAL & CO., INC.
July 11, 1996 - June 12, 1997
CHATFIELD DEAN & CO., INC.
May 30, 1995 - July 22, 1996
PROSPERA FINANCIAL SERVICES, INC.
March 15, 1991 - May 11, 1995
RAUSCHER PIERCE REFSNES, INC.
May 25, 1988 - March 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CAMBRIDGE LEGACY SECURITIES L.L.C.
CRD#: 103722 / SEC#: , 8-52220
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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