AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
ST

Sergio A. Tapia

SEMINARIO SECURITIES
CORAL GABLES, FL 33134
CRD#: 8028766
Some features on this profile are disabled
ST
Sergio Alberto TapiaSEMINARIO SECURITIES

Professional summary

Sergio Alberto Tapia, who also goes by Sergio Alberto Tapia Liendo, is a registered financial professional currently at SEMINARIO SECURITIES located in Coral Gables, Florida.

Sergio is registered as a RR (Registered Representative) and started their career in finance in 2025. Sergio has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

Aliases

Sergio Alberto Tapia Liendo

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 Sergio Alberto Tapia'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

January 21, 2025 - Present

SEMINARIO SECURITIES

Office #1: 95 Merrick Way Suite 516, Coral Gables, FL 33134
BD
CRD#: 315218
CORAL GABLES, FL

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
Florida
(1/21/2025)
RR
Texas
(1/21/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEMINARIO SECURITIES
SEMINARIO SECURITIES | SEMINARIO SECURITIES LLC

CRD#: 315218 / SEC#: , 8-70773

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Loading...

Contact information

Main Address
95 Merrick Way Suite 516, Coral Gables, FL 33134
Mailing Address
95 Merrick Way Suite 516, Coral Gables, FL 33134
Phone number
(786) 292-0512
Established
Florida since 04/20/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEMINARIO SECURITIES HOLDINGS, INC.MEMBER
DIEGUEZ, MARLO ECEO5644954
RUBIO, IREANNA MELISSACHIEF COMPLIANCE OFFICER/AMLCO6507398

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

SEMINARIO SECURITIES

CRD#: 315218Coral Gables, FL 33134

TRUST BUT VERIFY

Monitor Sergio Tapia

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Samuel Elias Kaplowitz
Samuel KaplowitzAdvisorCheck Check Mark
BREACHWAY INVESTMENTS, LLC
IAR
West Hartford, CT
Michael Haven Delap
Michael DelapAdvisorCheck Check Mark
OSAIC WEALTH, INC.
PR
SCOTTSDALE, AZ
Sean Ryan Leonard
Sean LeonardAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
HURST, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.