LS
Liza H. Serro
MATRIX EXECUTIONS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4299548
LS
Professional summary
Liza H Serro, who also goes by Liza H Kipnis, is a registered financial professional currently at MATRIX EXECUTIONS, LLC located in Chicago, Illinois.
Liza is registered as a RR (Registered Representative) and started their career in finance in 2003. Liza has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Liza H Kipnis
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.
CRS (Client Relationship Summary) - BD
Click below to view Liza H Serro's 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®
NoneExperience
Current
June 18, 2018 - Present
MATRIX EXECUTIONS, LLC
Office #1: 141 W Jackson Blvd Suite 2020a, Chicago, IL 60606Office #2: 141 W Jackson Blvd Suite 2020a, Chicago, IL 60604BD
CRD#: 38455
Chicago, IL
Past
March 1, 2017 - March 19, 2018
DASH FINANCIAL TECHNOLOGIES LLC
BD
CRD#: 104031
New York, NY
Past
December 1, 2014 - March 1, 2017
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
May 25, 2007 - December 1, 2014
LIQUIDPOINT, LLC
BD
CRD#: 47658
CHICAGO, IL
Past
September 22, 2006 - May 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 29, 2003 - May 7, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(6/18/2018)
RR
Colorado(6/18/2018)
RR
Connecticut(6/18/2018)
RR
Delaware(6/18/2018)
RR
Florida(6/18/2018)
RR
Georgia(6/18/2018)
RR
Illinois(6/18/2018)
RR
Indiana(6/18/2018)
RR
Massachusetts(6/18/2018)
RR
Minnesota(6/18/2018)
RR
Nevada(6/18/2018)
RR
New Jersey(6/18/2018)
RR
New York(6/18/2018)
RR
Pennsylvania(6/18/2018)
RR
Texas(6/18/2018)
RR
Virginia(6/18/2018)
RR
Washington(6/18/2018)
RR
Wisconsin(6/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
ME
MATRIX EXECUTIONS, LLC
ITG DERIVATIVES LLC. | YOURTRADE.COM SECURITIES, INC. | REDSKY SECURITIES, LLC | REDSKY SECURITIES, INC. | REDSKY FINANCIAL, LLC | MATRIX EXECUTIONS, LLC | LAKE KATHERINE SECURITIES, LTD.
CRD#: 38455 / SEC#: , 8-48255
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Mailing Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Phone number
(312) 334-8040
Established
Illinois since 02/14/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
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.
