Carl A. Serger
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.
Carl Andrew Serger was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 2000. Carl had worked at 2 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2010 - April 1, 2020
STEBEN & COMPANY, LLC
March 16, 2000 - December 13, 2005
ANNUITYNET INSURANCE AGENCY, INC.
Primary Firm SEC Registration
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
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
Series 28
Date: 2/22/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
STEBEN & COMPANY, LLC
CRD#: 117808 / SEC#: 801-64686, 8-53614
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 108,117,452 |
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.
