Serafin AquinoCRD Number: 1603285
Current Firm: Oppenheimer & Company Inc.
Serafin Aquino (CRD# 1603285) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Bellevue, WA and has over 36 years of experience in the finance industry.
Harbour Investments, Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
|Oppenheimer & Company Inc.||Bellevue, WA||Oct 2006 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1987|
|S65||NASAA Investment Advisors Law Examination||Apr 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management22,651MILLIONS
Total Number of Accounts32,333ACCOUNTS
Average Account Value$700,552
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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