Michael C. Serricchio

Some features on this profile are disabled

CRD#: 3179085

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.

Michael Carlos Serricchio, who also goes by Michael Serricchio, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Serricchio

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.

The advisor shows no other business activity.

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

June 8, 2011 - December 5, 2013

MEDALLION WEALTH ADVISORS, LLC

RIA

CRD#: 156064

FARMINGTON, CT

Past

July 7, 2010 - October 18, 2011

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

FARMINGTON, CT

Past

December 4, 2009 - June 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HARTFORD, CT

Past

August 31, 2009 - June 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HARTFORD, CT

Past

July 1, 2003 - June 29, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTPORT, CT

Past

July 1, 2003 - June 29, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 18, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

STAMFORD, CT

Past

October 6, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 5, 1999 - October 11, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

MEDALLION WEALTH ADVISORS, LLC

CRD#: 156064 / SEC#: 801-116959

RIA

Registered Investment Advisory firm - (7/15/2019 Approved)

Connecticut

Registered Investment Advisory firm - (7/24/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/23/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (8/6/2019 Terminated)

New Jersey

Registered Investment Advisory firm - (7/31/2019 Terminated)

New York

Registered Investment Advisory firm - (7/23/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2019 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: 12/2/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/2009

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 5/10/1999

Futures Managed Funds Examination

Current Firm

MEDALLION WEALTH ADVISORS, LLC

CRD#: 156064 / SEC#: 801-116959

RIA

Registered Investment Advisory firm - (7/15/2019 Approved)

Connecticut

Registered Investment Advisory firm - (7/24/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/23/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (8/6/2019 Terminated)

New Jersey

Registered Investment Advisory firm - (7/31/2019 Terminated)

New York

Registered Investment Advisory firm - (7/23/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/24/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2 Bridgewater Road Suite 201, Farmington, CT 06032

Mailing Address

Phone number

(860) 967-3032

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A EXHIBIT WRAP BROCHURE (MEDALLION) (3/7/2025)

ADV PART 2A BROCHURE (MEDALLION) (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,493
AUM (Assets Under Management)	$ 407,428,379

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Serricchio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MEDALLION WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2009

Series 65

Date: 4/9/1999

Series 63

Date: 3/25/1999

Series 7

Date: 8/15/2009

Series 31

Date: 5/10/1999

Current Firm

MEDALLION WEALTH ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEDALLION WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors