Alfredo Serrano

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2012 → 11/2019
  Morgan Stanley Smith Barney
  Barrington, IL
• 01/2015 → 11/2019
  Morgan Stanley Private Bank, National Association
  New York, NY
• 11/2019 → Present
  Stifel Nicolaus & Co Inc
  Barrington, IL

Previous Registrations

• 2012-03-16 → 2019-11-11
  Morgan Stanley
  Barrington, IL
  Barrington, IL
• 2009-10-23 → 2012-03-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Buffalo Grove, IL
  Deer Park, IL
  Chicago, IL
• 2008-10-24 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Buffalo Grove, IL
• 2002-10-14 → 2008-10-24
  Lasalle Financial Services, Inc.
  Mchenry, IL
  Buffalo Grove, IL
  Chicago, IL
  Arlington Heights, IL
  Buffalo Grove, IL
  Buffalo Grove, IL
  Lake Zurich, IL
  Lake Zurich, IL
  Chicago, IL

Exams

• S66 Uniform Combined State Law Examination
  2002-10-11

Other Names

• Al Serrano