Individual Firm
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JOSEPH ANTHONY SERRA
JOE ANTHONY SERRA
CRD#: 4910256
IA
B
MORGAN STANLEYCRD#: 149777 729 SW FEDERAL HIGHWAY
STUART, FL 34994
STUART, FL 34994
View By:
5/25/2010
Customer Dispute
Denied
State Registrations
B
Alabama 5/1/2017
B
Mississippi 7/24/2019
B
Arizona 2/13/2020
B
Missouri 8/4/2016
B
Arkansas 9/16/2024
B
Nebraska 8/8/2018
B
California 3/26/2010
B
Nevada 8/26/2022
B
Colorado 3/26/2010
B
New Hampshire 3/26/2010
B
Connecticut 3/26/2010
B
New Jersey 3/26/2010
B
Delaware 10/12/2020
B
New York 3/26/2010
B
District of Columbia 5/25/2021
B
North Carolina 3/26/2010
B
Florida 3/26/2010
B
Ohio 3/26/2010
IA
Florida 4/7/2010
B
Oregon 5/25/2021
B
Georgia 1/6/2020
B
Pennsylvania 1/3/2020
B
Hawaii 3/26/2010
B
Rhode Island 4/28/2023
B
Illinois 3/26/2010
B
South Carolina 7/15/2020
B
Indiana 8/26/2022
B
Tennessee 6/8/2017
B
Iowa 5/25/2021
B
Texas 1/8/2018
B
Kentucky 6/26/2019
IA
Texas 4/8/2020
B
Maine 2/26/2015
B
Vermont 1/3/2020
B
Maryland 4/5/2019
B
Virginia 3/26/2010
B
Massachusetts 3/6/2012
B
Washington 4/12/2010
B
Michigan 3/26/2010
B
Wisconsin 5/25/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/7/2010
B
Registered with this firm since 3/26/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/28/2007 - 03/30/2010 | STUART, FL | |
B | 06/27/2007 - 03/30/2010 | STUART, FL | |
IA | 07/22/2005 - 12/11/2006 | GAINESVILLE, FL | |
B | 07/13/2005 - 12/11/2006 | GAINESVILLE, FL |
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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.