Scott Serio is a registered investment advisor, based in Carencro, LA, with 6 years of industry experience.
Location
Carencro, LA
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Scott is an advisory representative of a RIA, spending full-time hours on advisory and trading activities. He is also an independent insurance agent for various independent insurance companies, dedicating minimal time to this activity.
Employment History
Current Registrations
Cambridge Investment Research, INC.
July 2021 - Present · 4 yrs 10 mos
Cambridge Investment Research Advisors, INC.
July 2021 - Present · 4 yrs 10 mos
Cambridge Investment Research, INC.Broker
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Mwa Financial Services, INC.
November 2019 - August 2021 · 1 yr 9 mos
Mwa Financial Services INC.Broker
November 2019 - August 2021 · 1 yr 9 mos
Sagepoint Financial, INC.
November 2019 - November 2019 · 0 mos
Sagepoint Financial, INC.Broker
July 2019 - November 2019 · 4 mos
State Registrations11 states
ARCOLAMAMDMNMONCOHTXVA
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.