Eric Serfaty is a registered investment advisor, based in Miami, FL, with 24 years of industry experience.
Location
1221 Brickell Avenue, 27th Floor, Miami, FL, 33131
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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2006Settled
Employment Separation After Allegations
June 2006Customer Dispute
April 2006Settled
Customer Dispute
February 2006Settled
Other Business Activities
Eric dedicates a few hours per week to Insigneo Advisory Services LLC, an affiliate.
Employment History
Current Registrations
Insigneo Advisory Services, LLC
August 2023 - Present · 2 yrs 9 mos
Insigneo Securities, LLCBroker
August 2023 - Present · 2 yrs 9 mos
Insigneo Securities, LLC
August 2023 - Present · 2 yrs 9 mos
Previous Registrations
Oppenheimer & CO. INC.Broker
November 2022 - August 2023 · 9 mos
Oppenheimer & CO. INC.
November 2022 - August 2023 · 9 mos
UBS Financial Services INC.
October 2021 - November 2022 · 1 yr 1 mo
UBS Financial Services INC.Broker
January 2010 - November 2022 · 12 yrs 10 mos
UBS International INC.Broker
September 2007 - January 2010 · 2 yrs 4 mos
Citigroup Global Markets INC.Broker
January 2000 - June 2006 · 6 yrs 5 mos
State Registrations3 states
DCFLNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.