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PHILIP JOHN SERAFINE
PHILIP J SERAFINE, PHILLP JOHN SERAFINE
CRD#: 1628803
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 80 LINDEN OAKS
SUITE 220
ROCHESTER, NY 14625-2809
Registration History
199019952000200520102015202020252 FIRMS2013 - Present (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2013 (6 years)BMCDONALD INVESTMENTS INC. (CRD# 566)1999 - 2007 (7 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1999 (10 years)BCOMMUNITY SECURITIES, INC. (CRD# 10431)1987 - 1988 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2013 (4 years)
License(s)

State Registrations

B
Colorado 3/9/2018

B
New York 3/21/2013

B
Florida 3/21/2013

IA
New York 8/6/2021

B
Georgia 3/21/2013

B
Oregon 9/23/2019

B
Iowa 7/13/2020

B
South Carolina 3/14/2014

B
Maryland 8/5/2024

B
Tennessee 3/21/2013

B
Massachusetts 7/1/2014

B
Texas 6/21/2016

B
Montana 3/21/2013

IA
Texas 6/22/2016

B
New Hampshire 4/23/2024

B
Utah 8/5/2024

B
New Jersey 3/21/2013

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
80 LINDEN OAKS SUITE 220, ROCHESTER, NY 14625-2809
Webster, NY
Registered with this firm since 3/21/2013

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
80 LINDEN OAKS SUITE 220, ROCHESTER, NY 14625-2809
Webster, NY
Registered with this firm since 3/21/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/17/2008 - 03/22/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCHESTER, NY
B
02/09/2007 - 03/22/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) ROCHESTER, NY
B
10/08/1999 - 02/09/2007 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
12/05/1988 - 10/18/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
02/24/1987 - 12/12/1988 COMMUNITY SECURITIES, INC. (CRD#:10431)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.