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MARK STEPHEN SERIO
MARK S SERIO
CRD#: 2605052
IA
B
MORGAN STANLEYCRD#: 149777 2 North Tamiami Trail
Suite 1100
Sarasota, FL 34236
Suite 1100
Sarasota, FL 34236
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9/17/2005
Customer Dispute
Denied
State Registrations
B
Alabama 8/29/2016
B
Missouri 1/14/2019
B
Arizona 10/15/2018
B
Nevada 8/10/2016
B
California 6/1/2009
B
New Hampshire 1/10/2022
B
Colorado 12/11/2013
B
New Jersey 6/1/2009
B
Connecticut 9/26/2024
B
New Mexico 11/16/2018
B
Delaware 3/28/2022
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 6/1/2009
IA
Florida 6/1/2009
B
Oklahoma 8/7/2023
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Idaho 3/9/2018
B
Rhode Island 6/1/2009
B
Illinois 6/1/2009
B
South Carolina 7/16/2015
B
Iowa 3/12/2018
B
South Dakota 5/28/2019
B
Kansas 3/13/2018
B
Tennessee 6/1/2009
B
Maine 2/6/2019
B
Texas 6/1/2009
B
Maryland 6/1/2009
IA
Texas 4/15/2020
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 2/26/2015
B
Minnesota 3/22/2023
B
Wisconsin 4/1/2019
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/21/2006 - 06/01/2009 | SARASOTA, FL | |
B | 02/21/2006 - 06/01/2009 | SARASOTA, FL | |
IA | 02/18/2000 - 02/21/2006 | SARASOTA, FL | |
B | 02/18/2000 - 02/21/2006 | BALTIMORE, MD | |
B | 05/23/1995 - 03/02/2000 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.