Jeanpierre R. Serena
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.
Jeanpierre Robinson Serena, who also goes by Jean Pierre Serena, Jeanpierre Serena, John Peter Serena, was a registered financial professional .
Jeanpierre is a previously registered financial professional and started their career in finance in 1991. Jeanpierre had worked at 7 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
September 14, 1999 - March 16, 2000
LH ROSS & COMPANY, INC.
November 10, 1998 - January 14, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 12, 1996 - January 24, 1997
MATRIX SECURITIES CORPORATION
June 29, 1995 - March 22, 1996
MATRIX SECURITIES CORPORATION
February 1, 1994 - February 28, 1995
JOSEPH ROBERTS & CO., INC.
July 31, 1992 - December 6, 1993
H G I
January 7, 1992 - May 26, 1992
JOSEPHTHAL & CO., INC.
November 18, 1991 - February 7, 1992
AMERICAN BOND GROUP, 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
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
