Stanley J. Seren
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.
Stanley J Seren, who also goes by Stanley Seren, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1961. Stanley had worked at 7 firms and has passed the Series 6, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2000 - August 1, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
May 17, 2000 - September 19, 2000
OGILVIE SECURITY ADVISORS CORPORATION
April 21, 1983 - July 24, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
June 19, 1974 - October 15, 1977
LINSCO FINANCIAL GROUP, INC.
September 7, 1973 - September 13, 1977
DHC SECURITIES, INC.
June 22, 1971 - October 12, 1973
ILG SECURITIES CORPORATION
May 11, 1961 - February 12, 1971
666 EQUITIES CORPORATION
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: 6/15/1960
Registered Representative ExaminationCurrent Firm
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
