Serena L. Concepcion
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.
Serena Lorena Concepcion, who also goes by Serena Lorelai Concepcion, was a registered financial professional .
Serena is a previously registered financial professional and started their career in finance in 2022. Serena had worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2024 - January 9, 2025
ARKADIOS CAPITAL
August 28, 2024 - January 9, 2025
ARKADIOS WEALTH ADVISORS
September 7, 2022 - March 25, 2024
PENDLETON STREET ADVISORS, 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 7TO
Date: 9/20/2024
General Securities Representative ExaminationCurrent Firm
ARKADIOS CAPITAL
CRD#: 282710 / SEC#: , 8-69729
Contact information
FINRA licenses (53 States and Territories)
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.
