James A. Serrano

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CRD#: 2736701

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.

James Albert Serrano SR, who also goes by James Albert Serrano, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1996. James had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Albert Serrano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Landlord - 10207 Springrose Drive, Tampa, FL 33626 and 10242 Woodford Bridge Street Tampa, FL 33626. Not investment related, 0 hours devoted/0 hours during trading hours 3. Owner of Partners in Painting, LLC, a Painting company. Not investment related. Start date: 12/2020. 30 hours/week, 30 hours per week during trading hours. 3874 San Vito Drive Wesley Chapel, FL 33543

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 12, 2016 - July 17, 2024

PFG PRIVATE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282301

LUTZ, FL

Past

December 2, 2008 - March 2, 2015

ARS WEALTH ADVISORS

RIA

CRD#: 124185

ST. PETERSBURG, FL

Past

April 25, 2006 - October 10, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

TAMPA, FL

Past

November 19, 2003 - October 10, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

SARASOTA, FL

Past

June 9, 2003 - November 11, 2003

TD AMERITRADE, INC.

RIA

CRD#: 7870

SARASOTA, FL

Past

January 21, 1998 - October 10, 2008

TD AMERITRADE, INC.

CRD#: 7870

SARASOTA, FL

Past

May 1, 1996 - August 6, 1997

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PFG PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 282301 / SEC#: 801-113163

RIA

Registered Investment Advisory firm - (5/4/2018 Approved)

Florida

Registered Investment Advisory firm - (5/4/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/24/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/17/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/16/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

PFG PRIVATE WEALTH MANAGEMENT, LLC

CRD#: 282301 / SEC#: 801-113163

RIA

Registered Investment Advisory firm - (5/4/2018 Approved)

Florida

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

18572 N. Dale Mabry Hwy, Lutz, FL 33548

Mailing Address

Phone number

(813) 286-7776

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-PFG PRIVATE WEALTH MANAGEMENT, LLC (7/24/2025)

Regulatory assets under management

Total Number of Accounts	1,104
AUM (Assets Under Management)	$ 238,543,738

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.

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Advisor Monitoring

Firm Stability Insights

James A. Serrano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARS WEALTH ADVISORS

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

COMMONWEALTH ASSOCIATES

Primary Firm SEC Registration

PFG PRIVATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2003

Series 63

Date: 5/6/1996

Series 7

Date: 4/24/1996

Series 10

Date: 9/17/1999

Series 9

Date: 8/16/1999

Current Firm

PFG PRIVATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PFG PRIVATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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