Tanya Serrano
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tanya Serrano, who also goes by Tanya Antoinette Serrano, was a registered financial professional .
Tanya is a previously registered financial professional and started their career in finance in 2012. Tanya had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2022 - January 13, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 18, 2022 - January 13, 2025
FIDELITY BROKERAGE SERVICES LLC
December 20, 2019 - August 31, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 17, 2019 - August 31, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
June 14, 2013 - July 16, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
December 4, 2012 - July 16, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
