David A. Serrano
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.
David Amauri Serrano, who also goes by Dave Serrano, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2024 - November 5, 2024
STIRLINGSHIRE INVESTMENTS
January 3, 2024 - November 5, 2024
STIRLINGSHIRE INVESTMENTS
April 5, 2006 - November 16, 2023
LPL FINANCIAL LLC
April 5, 2006 - November 16, 2023
LPL FINANCIAL LLC
October 10, 2000 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
February 3, 2000 - April 1, 2006
CITIGROUP GLOBAL MARKETS 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
STIRLINGSHIRE INVESTMENTS
CRD#: 310576 / SEC#: , 8-70616
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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