Jose L. Serrano
Professional summary
Jose Luis Serrano JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jose is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jose had worked at 3 firms, which includes LASALLE FINANCIAL SERVICES INC., CHARTER ONE SECURITIES INC., INVESTMENT NETWORK INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2000 - December 6, 2000
LASALLE FINANCIAL SERVICES, INC.
January 1, 2000 - May 23, 2000
CHARTER ONE SECURITIES, INC.
June 21, 1996 - January 1, 2000
INVESTMENT NETWORK, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LASALLE FINANCIAL SERVICES, INC.
CRD#: 20373 / SEC#: , 8-38264
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
