Serena Tam is a registered investment advisor, based in Austin, TX, with 26 years of industry experience.
Location
Austin, TX
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Serena works full-time as an employee of Kestra Private Wealth Services, LLC, providing investment advisory services as a registered field assistant. She dedicates nearly all of her time during trading hours to this role.
Employment History
Current Registrations
Kestra Investment Services, LLC
February 2014 - Present · 12 yrs 5 mos
Kestra Investment Services, LLCBroker
February 2014 - Present · 12 yrs 5 mos
Kestra Private Wealth Services, LLC
April 2012 - Present · 14 yrs 3 mos
Previous Registrations
LPL Financial LLCBroker
September 2012 - December 2013 · 1 yr 3 mos
Spire Securities, LLCBroker
May 2012 - September 2012 · 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - April 2012 · 2 yrs 10 mos
Morgan Stanley Smith BarneyBroker
June 2009 - April 2012 · 2 yrs 10 mos
Morgan Stanley & CO. Incorporated
May 2009 - June 2009 · 1 mo
Morgan Stanley & CO. IncorporatedBroker
November 2003 - June 2009 · 5 yrs 7 mos
Morgan Stanley Dw INC.Broker
December 2000 - December 2003 · 3 yrs
Momentum Securities, L.L.C.Broker
January 2000 - November 2000 · 10 mos
State Registrations1 state
TX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.