Scott P. Serkez
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.
Scott Paul Serkez, who also goes by Scott Paul Serkez Mr, Scott Paul Serkez, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 6 firms and has passed the Series 63, SIE, 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
August 30, 2018 - June 6, 2019
DAVID LERNER ASSOCIATES, INC.
November 4, 2003 - July 23, 2004
CANTELLA & CO., INC.
November 4, 2003 - December 23, 2008
CANTELLA & CO., INC.
July 11, 2003 - November 7, 2003
AMERIPRISE ADVISOR SERVICES, INC.
November 28, 2002 - November 7, 2003
AMERIPRISE ADVISOR SERVICES, INC.
July 30, 2002 - December 17, 2002
UBS FINANCIAL SERVICES INC.
September 15, 2000 - December 17, 2002
UBS FINANCIAL SERVICES INC.
May 13, 1997 - October 6, 2000
EDWARD JONES
September 23, 1994 - May 6, 1997
FLEET ENTERPRISES, INC.
October 19, 1993 - August 18, 1994
DAVID LERNER ASSOCIATES, 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
