Philip J. Sercia

ALTRUIST FINANCIAL LLC

Red Bank, NJ 07701

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CRD#: 4131282

Professional summary

Philip J Sercia is a registered financial professional currently at ALTRUIST FINANCIAL LLC located in Red Bank, New Jersey.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2005. Philip has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Philip J Sercia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 25, 2022 - Present

ALTRUIST FINANCIAL LLC

Office #1: 27 Monmouth Street Suite 3, Red Bank, NJ 07701

CRD#: 299274

Red Bank, NJ

Past

July 28, 2020 - April 12, 2022

US TIGER SECURITIES, INC.

CRD#: 120583

NEW YORK, NY

Past

July 28, 2020 - April 12, 2022

TRADEUP SECURITIES, INC.

CRD#: 18483

ROSELAND, NJ

Past

March 22, 2011 - June 25, 2020

TRADESTATION SECURITIES, INC.

CRD#: 39473

NEW YORK, NY

Past

September 14, 2006 - March 18, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 9, 2005 - August 18, 2006

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/25/2022)

New Jersey
(5/25/2022)

Exams

State Security Law Exam

Series 63

Date: 1/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALTRUIST FINANCIAL LLC

ALTRUIST | ALTRUIST FINANCIAL LLC | ALTRUIST CLEARING

CRD#: 299274 / SEC#: , 8-70244

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

3030 S La Cienega Blvd, Culver City, CA 90232

Mailing Address

3030 S La Cienega Blvd, Culver City, CA 90232

Phone number

(888) 510-4660

Established

Delaware since 10/08/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALTRUIST CORP	MEMBER
BAHADORI, MAZI [NMN]	CEO AND CCO	5749453
GERINGER, JASON	FINOP	5781274
JUNKER, DAVID J	SENIOR DIRECTOR OF CLEARING OPERATIONS (POO)	6073985
MENNOW, ROBERT ALLISON	HEAD OF ADVISOR OPERATIONS	3070390
WARNER, WESLEY DEE	SENIOR DIRECTOR OF ADVISOR OPERATIONS	5584384

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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Firm Stability Insights

Philip J. Sercia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip J Sercia's CRS (Customer Relationship Summary).

Certified licenses

Experience

US TIGER SECURITIES, INC.

TRADEUP SECURITIES, INC.

TRADESTATION SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2005

Series 24

Date: 12/17/2021

FINRA

Current Firm

ALTRUIST FINANCIAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ALTRUIST FINANCIAL LLC

TRUST BUT VERIFY

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