Serria Tawan Rego
Investment adviser representative at LPL Financial LLC
24 yearsExperience
4 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
24 years in the industry.
- LPL Financial LLCMar 2026 to now
- Estately.Jan 2025 to Mar 2026
- United American Insurance CompanyJun 2017 to Jan 2020
- Zein Insurance ServicesOct 2013 to Jan 2020
- Transamerica Financial Advisors, IncNov 2012 to Mar 2026
- World Financial Group, Inc.Oct 2012 to Mar 2026
- Dance Team C/o Pat LaceyApr 2010 to Apr 2018
- PeiNov 2002 to Jan 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law1999
- Series 66 · Uniform Combined State Law2008
State registrations
Registered as an investment adviser representative in 4 states (CA, IL, NJ, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4050706
- Firm CRD
- 6413