• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
PETER P SERENO
PETER PAUL SERENO III, PETER PAUL SERENO, PETER P SERENO III
CRD#: 5397014
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3455 PEACHTREE RD NE
ATLANTA, GA 30326
Registration History
20082010201220142016201820202022202420262 FIRMS2013 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2007 - 2011 (4 years)
License(s)

State Registrations

B
Alabama 3/1/2013

B
Nebraska 3/1/2013

B
Alaska 3/1/2013

B
Nevada 3/1/2013

B
Arizona 3/1/2013

B
New Hampshire 3/1/2013

B
Arkansas 3/1/2013

B
New Jersey 3/1/2013

B
California 3/1/2013

B
New Mexico 3/1/2013

B
Colorado 3/1/2013

B
New York 3/1/2013

B
Connecticut 3/1/2013

B
North Carolina 3/4/2013

B
Delaware 3/1/2013

B
North Dakota 3/1/2013

B
District of Columbia 3/1/2013

B
Ohio 3/1/2013

B
Florida 3/1/2013

B
Oklahoma 3/1/2013

B
Georgia 1/8/2013

B
Oregon 3/1/2013

IA
Georgia 1/25/2013

B
Pennsylvania 3/1/2013

B
Hawaii 3/1/2013

B
Puerto Rico 3/1/2013

B
Idaho 3/1/2013

B
Rhode Island 3/1/2013

B
Illinois 3/1/2013

B
South Carolina 3/1/2013

B
Indiana 3/1/2013

B
South Dakota 3/1/2013

B
Iowa 3/1/2013

B
Tennessee 3/1/2013

B
Kansas 3/1/2013

B
Texas 3/1/2013

B
Kentucky 3/1/2013

IA
Texas 3/1/2013

B
Louisiana 3/1/2013

B
Utah 3/1/2013

B
Maine 3/1/2013

B
Vermont 3/1/2013

B
Maryland 3/1/2013

B
Virgin Islands 3/1/2013

B
Massachusetts 3/1/2013

B
Virginia 3/1/2013

B
Michigan 3/1/2013

B
Washington 3/1/2013

B
Minnesota 3/1/2013

B
West Virginia 3/1/2013

B
Mississippi 3/1/2013

B
Wisconsin 3/1/2013

B
Missouri 3/1/2013

B
Wyoming 3/1/2013

B
Montana 3/1/2013

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 1/25/2013

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 1/8/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/26/2007 - 09/12/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) CEDARHURST, NY
For additional information about investment advisers or broker-dealers, please visit
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.