Gregory C. Sernett
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.
Gregory Charles Sernett was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2012 - August 10, 2018
TD AMERITRADE, INC.
August 21, 2012 - August 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 2, 2012 - August 10, 2018
TD AMERITRADE, INC.
July 16, 2010 - November 1, 2010
INSPHERE SECURITIES, INC.
July 8, 2010 - November 2, 2010
INSPHERE SECURITIES, INC.
November 29, 2007 - May 7, 2010
AMERITAS INVESTMENT COMPANY, LLC
July 7, 2006 - May 7, 2010
AMERITAS INVESTMENT COMPANY, LLC
April 15, 1999 - February 18, 2000
ALFS, INC.
February 11, 1998 - April 8, 2000
ALLSTATE FINANCIAL SERVICES, LLC
February 24, 1995 - February 18, 1999
AFD, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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