Erin H. Serrate

ASIO CAPITAL LLC

Lexington, KY 40503

Some features on this profile are disabled

CRD#: 4787050

Professional summary

Erin Hershey Serrate, who also goes by Erin Nicole Hershey, is a registered financial advisor currently at ASIO CAPITAL LLC located in Lexington, Kentucky.

Erin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Erin has worked at 5 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erin Nicole Hershey

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.

1. DV8 Kitchen; Not Investment-Related; Lexington, KY; Restaurant; Minority Owner; 07/01/2017; 0 Hours/Month; 0 Hours during trading hours; No Duties. 2. Hershey Family Trust; Investment-Related; Lexington, KY; Family Trust; Co-Trustee of Family Trust; 08/01/2007; Less than 1 Hour/Month; 0 Hours during trading hours; Annual Tax Returns. 3. Ohana Burnside, LLC; Investment-Related; 456 Weston Park Lexington, KY 40515; Real Estate Investment; Manager; 07/01/2020; Approximately 1 Hour/Month; 0 Hours during trading hours; No Duties. 4. N & S Holdings LLC; Investment-Related; 3854 Hidden Pond Rd, Lexington, KY 40502; Real Estate Investment, Manager; 09/01/2020; Approximately 1 Hour/Month; 0 Hours during trading hours; No Duties. 5. Lexington Catholic High School Board of Trustees; Not Investment-Related: 2250 Clay Mill Rd, Lexington, KY; Education; Board Member; 07/01/2022; Approximately 1 Hour/Month; 0 Hours during trading hours; Provide collaborative assistance to LCHS as they deliver a high quality education for students.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Hershey Serrate'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

August 28, 2018 - Present

ASIO CAPITAL LLC

Office #1: 220 Lexington Green Circle Suite 420, Lexington, KY 40503

RIA

CRD#: 298326

Lexington, KY

Past

January 23, 2007 - April 27, 2012

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

LEXINGTON, KY

Past

January 23, 2007 - April 27, 2012

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

LEXINGTON, KY

Past

January 18, 2006 - January 19, 2007

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

IRVINE, KY

Past

July 21, 2005 - January 19, 2007

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

IRVINE, KY

Past

July 14, 2004 - June 30, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HIGH POINT, NC

Past

July 7, 2004 - June 30, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 7, 2004 - June 30, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASIO CAPITAL LLC

ASIO CAPITAL LLC | PIN OAK CAPITAL LLC

CRD#: 298326 / SEC#: 801-113910

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/27/2021)

IAR

Kentucky
(8/28/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/13/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/6/2004

General Securities Representative Examination

Current Firm

ASIO CAPITAL LLC

ASIO CAPITAL LLC | PIN OAK CAPITAL LLC

CRD#: 298326 / SEC#: 801-113910

RIA

Registered Investment Advisory firm - (8/28/2018 Approved)

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

220 Lexington Green Circle Suite 420, Lexington, KY 40503

Mailing Address

Phone number

(859) 785-4130

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASIO - FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 621,535,641

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.

Similar Advisors

Ginger Ford

RAYMOND JAMES FINANCIAL SERVICES, INC.

Lexington, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Erin H. Serrate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Hershey Serrate's CRS (Customer Relationship Summary).

Certified licenses

Experience

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ASIO CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2018

Series 66

Date: 7/13/2004

Series 7

Date: 7/6/2004

Current Firm

ASIO CAPITAL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASIO CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors