David Wesley Serrano

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 06/2014 → 05/2023
  Edward Jones
  St Louis, MO
• 05/2023 → Present
  Ameriprise Financial Services, Llc
  Chicago, IL

Previous Registrations

• 2014-10-31 → 2023-05-22
  Edward Jones
  St Louis, MO
  Chicago, IL
  Elmhurst, IL
  Chicago, IL
  Chicago, IL

Other Businesses

Other Business Activities; Member of the Investment and Finance Comittee; I am not a Member of the Board of Directors or Executive Committee. I am not the Registered Investment Advisor and do not offer investment Advice to the Organization. I joined the organization as a member in 2022. In 2024 I attended the investment and finance committee. At start of meeting quarterly portfolio reviews done by Bryan Hoppe (Financial Advisor) at Benjamin Edwards. Listened to Bryan's recommendations the maturing CDs in the Operating Account and his recommendations on the investment allocations. Next, Glessner House Financials were reviewed. Noted Fund Contributions ahead of budget. 2025 Budget Draft Reviewed. Noted Marketing/PR expenses increased. No Adjustments were recommended by any of the members. Committee agreed to forward budget draft to executive committee for discussion and review Reviewed 2017 policy statement regarding operating reserve requirements. A draft policy restatement of this policy will be made in the near future and sent to the board for approval. Conclusion of meeting.; GLESSNER HOUSE, 1800 S. PRAIRIE AVENUE, , Chicago, IL, 60616; Not Investment-Related; 06/01/2024; 1 to 9 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2014-08-08

Other Names

• David Serrano
• David W Serrano