Larry M. Serbin
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.
Larry Michael Serbin, who also goes by Lawrence Michael Serbin, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1972. Larry had worked at 5 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2001 - December 11, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
July 17, 1989 - January 1, 2001
MJK CLEARING, INC.
November 25, 1987 - July 3, 1989
MCCLEES INVESTMENTS, INC.
September 10, 1976 - December 7, 1987
SECURITIES RESOLUTION CORPORATION
July 18, 1972 - December 19, 1980
MILLER & SCHROEDER SECURITIES, 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
Series 1
Date: 12/14/1967
Registered Representative ExaminationSeries 00
Date: 8/17/1972
General Securities Principal ExaminationCurrent Firm
MILLER JOHNSON STEICHEN KINNARD, INC.
CRD#: 694 / SEC#: , 8-1303
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 8 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
