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WS

William Serrano

MAREX CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 4765782
WS

Professional summary

William Serrano is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2004. William has worked at 8 firms and has passed the Series 63, SIE, Series 57, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 William Serrano'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

October 22, 2024 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 140 East 45th Street 10th Floor, New York, NY 10017
BD
CRD#: 161014
New York, NY
Past

July 28, 2022 - October 9, 2024

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 21, 2021 - July 20, 2022

IDB CAPITAL CORP.

BD
CRD#: 106032
NEW YORK, NY
Past

May 5, 2021 - September 28, 2021

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

March 4, 2019 - April 21, 2021

IDB CAPITAL CORP.

BD
CRD#: 106032
NEW YORK, NY
Past

July 18, 2018 - January 25, 2019

FIRST TRYON SECURITIES, LLC

BD
CRD#: 7336
CHARLOTTE, NC
Past

October 12, 2005 - July 17, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

BD
CRD#: 105387
NEW YORK, NY
Past

July 7, 2004 - November 4, 2004

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

June 22, 2004 - February 4, 2005

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ

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
(10/22/2024)
RR
Connecticut
(10/22/2024)
RR
Florida
(10/22/2024)
RR
Illinois
(10/22/2024)
RR
New Jersey
(10/22/2024)
RR
New York
(10/22/2024)
RR
Ohio
(10/22/2024)
RR
Pennsylvania
(10/22/2024)
RR
Puerto Rico
(10/22/2024)
RR
Texas
(10/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 4/6/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/11/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/21/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/16/2011
General Securities Principal Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAREX SERVICES INC.DIRECT OWNER
BATES, CHRISTOPHERFINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR5648556
BERNICKY, JENNIFER KAISERCHIEF OPERATING OFFICER, DIRECTOR4781625
CHERRY, ELIN LYNNECHIEF COMPLIANCE OFFICER2430837
FALCO, CARMINE DOMENICOPRINCIPAL OPERATIONS OFFICER2782798
HOOD, STEPHEN MICHAELDIRECTOR3139127
VITTAL, MAHESH RAMPRES. & CEO, DIRECTOR4593014

Disclosures

Regulatory Event42

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.

Company Information

MAREX CAPITAL MARKETS INC.

CRD#: 161014New York, NY 10017

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