Louis D. Serio
Professional summary
Louis Dominick Serio, who also goes by Louis D Serio, is a registered financial professional currently at CITY NATIONAL SECURITIES, INC. located in New York, New York.
Louis is registered as a RR (Registered Representative) and started their career in finance in 2003. Louis has worked at 5 firms and has passed the Series 63, SIE, Series 79TO, Series 79 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis Dominick Serio's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2021 - Present
CITY NATIONAL SECURITIES, INC.
Office #1: 400 Park Avenue 8th Floor, New York, NY, 10022January 27, 2020 - November 9, 2020
TRUIST SECURITIES, INC.
February 28, 2012 - June 9, 2014
U.S. BANCORP INVESTMENTS, INC.
October 4, 2006 - October 4, 2006
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - December 13, 2006
BNY INVESTMENT CENTER INC.
June 25, 2003 - October 4, 2006
BNY INVESTMENT CENTER INC.
Primary Firm SEC Registration
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2021)
Exams
Series 79TO
Date: 1/6/2020
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CITY NATIONAL SECURITIES, INC.
CRD#: 103705 / SEC#: 801-71181, 8-52265
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL BANK | SOLE SHAREHOLDER | |
| BANUELOS, ALMA DELIA | BOARD MEMBER | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| BRETADO, SANTIAGO AVILA | VP, CFO | 1945627 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 7574191 |
Regulatory assets under management
| Total Number of Accounts | 2,004 |
| AUM (Assets Under Management) | $ 1,591,349,877 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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