Ross Michael Serena is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 711 HIGH ST, DES MOINES, IA, 50392.
Ross Michael Serena has worked at PRINCIPAL SECURITIES, INC. since November 22, 2016
Disclosure History
Ross Michael Serena has 3 Disclosure Event(s).
Date: October 14, 2016 Category: Financial Type: Compromise
Date: February 22, 2010 Category: Judgment / Lien Judgment/Lien Amount: $1,799.24 Judgment/Lien Type: Civil Broker Comment: Six years ago, I entered into a lease with another person and upon the dissolution of the underlying personal relationship therein, broke the terms of the rental lease resulting in a civil judgment being rendered against me in small claims court.
Date: July 25, 2008 Category: Criminal Charges: SB002V501-Substance Abuse Violation Disposition: Deferred Adjudication Broker Comment: In my first year of college (age 19), I sold a controlled substance (marijuana) to a friend of who was working in conjunction with the DEA in Story County, IA. Initially charged with 2 felonies, the evidence could not substantiate such charges and was later reduced to 2 serious/aggravated misdemeanors to be adjudicated through a deferred judgment/probation.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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