Barbara B. Serra Waitman
Professional summary
Barbara Bianca Serra Waitman, who also goes by Barbara Serra, is a registered financial professional currently at INVESTMENT PLACEMENT GROUP located in San Diego, California.
Barbara is registered as a RR (Registered Representative) and started their career in finance in 2025. Barbara has worked at 1 firm and has passed the Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Barbara Bianca Serra Waitman's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2025 - Present
INVESTMENT PLACEMENT GROUP
Office #1: 501 West Broadway Suite 1350, San Diego, CA 92101State 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: 8/22/2025
Operations Professional ExaminationSeries 7TO
Date: 8/18/2025
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
INVESTMENT PLACEMENT GROUP
CRD#: 14458 / SEC#: , 8-30700
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AGCX TRUST UDT 7/25/1997 | SHAREHOLDER PURCHASED WEST BOWL CORP SHARES & GNZLZ-RUBIO FMLY WERE REISSUED | |
| THE ALDRETE FAMILY TRUST | SHAREHOLDER | |
| THE BENREY FAMILY TRUST, | SHAREHOLDER | |
| THEMIS INVESTMENT INC. | SHAREHOLDER - PURCHASED PART OF LEON KASSEL'S SHARES | |
| ALDRETE, ALFONSO | TRUSTEE OF THE ALDRETE FAMILY TRUST | 4352620 |
| BENREY, ALBERT | TRUSTEE OF THE BENREY FAMILY TRUST | 4290443 |
| GONZALEZRUBIO, ADOLFO | CHAIRMAN/CEO AND TRUSTEE OF THE AGCX TRUST | 2385116 |
| LASHKARI, DARIUS NMN | CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 3061561 |
| SANCHEZ GAVITO, FRANCISCO XAVIER | MUNICIPAL SECURITIES PRINCIPAL | 6205321 |
| SANCHEZ GAVITO, FRANCISCO XAVIER | CROP/SROP | 6205321 |
| SOTO ACEVES, MARTHA ELIZABETH | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 5409623 |
Disclosures
| Regulatory Event | 6 |
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