Felix Raul Serrano

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 05/2013 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 05/2013 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2009-10-05 → 2013-07-17
  Westport Resources Management Inc
  Westport, CT
• 2004-07-13 → 2005-01-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Norwalk, CT
  New York, NY
  New York, NY

Other Businesses

1) 75 FAIRFIELD AVE LLC, INVESTMENT RELATED: (NO), 391 W CEDAR STREET NORWALK, CT 06854, NATURE: REAL ESTATE, YOUR POSITION, TITLE, ASSOCIATION: MEMBER, START06-JAN-2005, NUMBER OF HOURS DEVOTED PER MONTH: 0-20 , NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: NONE, DUTIES: BILL PAYING CHECK WRITING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 5/2013 AS ADVISORY REP OF A RIA. INV REL - 40 HR/WK - 40/TRADING. 3) GUIDELIGHT FINANCIAL, 50 WASHINGTON ST, NORWALK, CT, 12/2011 AS OWNER/INSURANCE AGENT SELLING LIFE & LTC PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 10 HR/YR - 0/TRADING. 4) GREATER NORWALK CHAMBER OF COMMERCE, 101 E AVE, NORWALK, CT, 4/2016 AS BOARD OF DIRECTOR. NIR - 2 HR/MO - 0/TRADING.

Exams

• S66 Uniform Combined State Law Examination
  2000-08-10

Designations

• Certified Financial Planner