Ross Michael Serena

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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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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