Andrew Serzan

Current Employers

Employment History

• 10/2010 → Present
  M Holdings Securities Inc.
  Portland, OR
• 10/2010 → 06/2019
  Atlas Advisory Group, Llc
  Cranford, NJ
• 07/2019 → Present
  Oneteam Financial Llc (D.b.a. For Advisory Business)
  Red Bank, NJ
• 11/2023 → Present
  C2P Capital Advisory Group Dba Prosperity Capital Advisors
  Westlake, OH

Other Businesses

(1) Fixed Insurance: Andrew Serzan is a licensed insurance agent conducting business from his registered location. In this capacity, he may offer fixed insurance products including but not limited to life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Andrew Serzan spends approx. 10 hrs/week during trading hours on this activity. (2) Andrew Serzan is a registered representative of M Holdings Securities, Inc, a registered broker-dealer and member of FINRA conducting business at his registered location. In such capacity, Mr. Serzan sells securities through M Holdings Securities, Inc, and receives normal and customary commissions and other types of compensation, for example, mutual fund 12b-1 fees or variable annuity trails. Mr. Serzan spends approximately 10 hours per week on this activity during trading hours. The potential for receipt of commissions and other types of compensation when Mr. Serzan acts as a registered representative gives Mr. Serzan an incentive to recommend broker dealer products based on the compensation received, rather than the client's needs. As part of his fiduciary duties, Mr. Serzan endeavors at all times to put the interests of all clients first and foremost. Clients are under no obligation to purchase broker dealer products through Mr. Serzan. (3) Andrew Serzan can provide financial services to a client either in a brokerage or advisory capacity. In some cases, this presents a conflict of interest. In brokerage accounts, clients are charged a commission for each transaction, and Andrew Serzan has no duty to provide ongoing investments advice and receive an ongoing advisory fee for that service. (4) Andrew Serzan is a licensed insurance agent (Fixed Life, also approved for Variable with MHS) with Life Settlement Broker. This is an investment-related activity. Mr. Serzan spends approximately 1 hours per month during non-trading hours. (5) Andrew Serzan is a licensed group health insurance and employee benefits agent with Campbell Petrie Inc. This is an investment-related activity. Mr. Serzan spends approximately 1 hours per month during non-trading hours. (6) Andrew Serzan is the trustee for the OneTeam Financial 401(k) Plan. In this role Mr. Serzan is responsible for signing 5500 and providing participants with appropriate plan notices. Mr. Serzan spends approximately 0-1 hours per month on this activity during trading hours. This is a non-compensated position. (7) Andrew Serzan serves as a board member for Colts Neck Sports Foundation out of Colts Neck, NJ. This is a volunteer position that supports youth recreational sports. This is not an investment-related activity. Andrew spends 0 hours per month during trading hours on this activity.

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-12-16
• S63 Uniform Securities Agent State Law Examination
  2002-10-08

Other Names

• Andrew P Serzan