Moses Serna
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.
Moses Serna was a registered financial professional .
Moses is a previously registered financial professional and started their career in finance in 1994. Moses had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2008 - December 31, 2020
SERNA SECURITIES, INC.
March 8, 2000 - April 19, 2002
CITIGROUP GLOBAL MARKETS INC.
July 6, 1998 - July 14, 1999
USAA INVESTMENT SERVICES COMPANY
May 12, 1997 - January 30, 1998
MORGAN STANLEY DW INC.
August 30, 1996 - April 4, 1997
KEY INVESTMENTS INC.
May 30, 1995 - December 13, 1995
IDS LIFE INSURANCE COMPANY
May 30, 1995 - December 13, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1994 - September 30, 1994
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SERNA SECURITIES, INC.
CRD#: 126247 / SEC#:
Contact information
Red Flags
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