Serena M. Seel
Professional summary
Serena Mah Seel, who also goes by Serena Lin Mah, Serena Mah, Serena Lin Seel, Serena Mah Seel, is a registered financial professional currently at MORGAN STANLEY & CO. LLC located in New York, New York and MORGAN STANLEY located in Purchase, New York.
Serena is registered as a RR (Registered Representative) and started their career in finance in 2012. Serena has worked at 7 firms and has passed the Series 99TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Serena Mah Seel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2019 - Present
MORGAN STANLEY & CO. LLC
Office #1: 1585 Broadway, New York, NY 10036-8293July 19, 2023 - Present
MORGAN STANLEY
Office #1: 2000 Westchester Avenue, Purchase, NY 10577-2530July 19, 2023 - Present
PRIME DEALER SERVICES CORP.
Office #1: 1585 Broadway, New York, NY 10036July 19, 2023 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036May 14, 2025 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: One Post Office Square, Boston, MA 02109July 19, 2023 - September 5, 2023
E*TRADE SECURITIES LLC
June 12, 2012 - July 27, 2016
RBC CAPITAL MARKETS, LLC
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 99TO
Date: 10/22/2019
Operations Professional ExaminationFINRA
Current Firm
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
Red Flags
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