Christian Serock, financial advisor Charlotte NC

Christian Serock

CRD Number: 3037928
Current Firm: Principal Securities, Inc.

Christian Serock (CRD# 3037928) is an Investment Advisor Representative working at Principal Securities, Inc. in Charlotte, NC and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Securities Inc. Charlotte, NC Mar 2016 - Current 6
Principal Life Insurance Company Charlotte, NC Jul 2001 - Current 21
Princor Financial Services Corporation Des Moines, IA Jul 2001 - Mar 2016 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S66 NASAA Uniform Combined State Law Examination Feb 2005
Contact Info for Christian D. Serock
Phone Number: 888-774-6267
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    11,439
    MILLIONS
  • Total Number of Accounts
    44,544
    ACCOUNTS
  • Average Account Value
    $256,795
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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