Andrew Serzan
Andrew Serzan is a registered investment advisor at Prosperity Capital Advisors, based in Red Bank, NJ, with 24 years of industry experience. Andrew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 7,548 clients with $4.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 0.50% |
| $500K - $1.0M | 0.40% |
| $1.0M - $2.0M | 0.30% |
| $2.0M - $5.0M | 0.25% |
| $5M+ | 0.20% |
Fees are negotiable. Total annual fees for retail clients typically range between 0.20% and 2.0% when including advisor fees.
Fee Estimator
Location
331 Newman Springs Rd. Bldg. 1, Suite 107, Red Bank, NJ, 07701
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Andrew is involved in several outside business activities, including working as a registered representative/principal at Oneteam Financial LLC (nearly full-time), and as an agent for Madison Brokerage, Clarity 2 Prosperity, Global DI Brokerage Corp., and Life Settlement Broker (a few hours per week each). He also serves as an advisor for Prosperity Capital Advisors (about three-quarters of his time) and as a board member for Colts Neck Sports Foundation (minimal time).
Employment History
Current Registrations
Prosperity Capital Advisors
M Holdings Securities, INC.Broker
Previous Registrations
M Holdings Securities, INC.
Nationwide Securities, LLCBroker
1717 Capital Management CompanyBroker
State Registrations24 states
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
More Advisors
- Gregory Shulman, CFP, ChFCProsperity Capital Advisors
- Jeffrey Dattolo, CFP, ChFCProsperity Capital Advisors
- Ashwini Ahluwalia, CFPProsperity Capital Advisors
- Gregory Dillon, CFA, CFPProsperity Capital Advisors
- Richard Lincoln, CFPProsperity Capital Advisors
- James Freisen, CFPLPL Financial LLC