Scott Louis Serio

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

• 12/2010 → 03/2019
  Serios' Feed And Seed Inc.
  Bossier City, LA
• 05/2019 → 11/2019
  Sagepoint Financial, Inc.
  Shreveport, LA
• 11/2019 → 07/2021
  Modern Woodmen Of America
  Rock Island, IL
• 11/2019 → 07/2021
  Mwa Financial Services Inv
  Rock Island, IL
• 07/2021 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 07/2021 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2019-11-25 → 2021-08-06
  Mwa Financial Services Inc.
  Pensacola, FL
  Shreveport, LA
  Shreveport, LA
• 2019-11-11 → 2019-11-26
  Osaic Services, Inc.
  Shreveport, LA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-40/WK-40/TRADING. 07/19/21 2) TORO ASSET MANAGEMENT, LLC, 910 PIERREMONT RD, STE 410, SHREVEPORT, LA, 10/01/19, Agent, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO- 1/TRADING HR.

Exams

• S66 Uniform Combined State Law Examination
  2019-11-08