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MS

Miguel A. Serna

FIRST FINANCIAL SECURITIES OF AMERICA
Georgetown, TX 78633
Some features on this profile are disabled
CRD#: 7068214
MS

Professional summary

Miguel Angel Serna, who also goes by Miguel A Serna, Miguel Serna, is a registered financial professional currently at FIRST FINANCIAL SECURITIES OF AMERICA, INC. located in Georgetown, Texas.

Miguel is registered as a RR (Registered Representative) and started their career in finance in 2019. Miguel has worked at 4 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miguel A Serna | Miguel Serna

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 Miguel Angel Serna'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

July 31, 2023 - Present

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

Office #1: 4500 Williams Drive Ste. 212-424, Georgetown, TX 78633
BD
CRD#: 13642
Georgetown, TX
Past

February 3, 2023 - June 21, 2023

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
Los Fresnos, TX
Past

June 12, 2020 - February 15, 2021

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
EDINBURG, TX
Past

November 12, 2019 - March 13, 2020

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
HARLINGEN, TX

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
Texas
(8/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/17/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/12/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
FIRST FINANCIAL SECURITIES OF AMERICA, INC. | TAX SHELTERED INVESTMENTS EQUITIES CORPORATION | SOUTHWEST GENERAL SECURITIES CORPORATION

CRD#: 13642 / SEC#: , 8-29565

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

Main Address
16945 Northchase Drive Suite 1800, Houston, TX 77060
Mailing Address
Po Box 670329, Houston, TX 77267-0329
Phone number
(281) 847-8422
Established
Texas since 12/04/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
70

FINRA licenses (28 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BLUTT, PAUL MATHIASCHIEF FINANCIAL OFFICER/FINOP7912579
KEELING, COURTNEY DANAECHIEF COMPLIANCE OFFICER7675059
PRUITT, SHERRIE RENEVICE PRESIDENT2691254
SCHNAUTZ, DAWSON LOUISPRESIDENT, DIRECTOR, PRINCIPAL2159228

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

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642Georgetown, TX 78633

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