Unclaimed Profile

Erin Hershey Serrate

ASIO CAPITAL LLC·LEXINGTON, Kentucky

Series 7, Series 65, Series 66Clean record22 years registeredASIO CAPITAL LLC

220 LEXINGTON GREEN CIRCLE, LEXINGTON, KY 40503CRD# 4787050Firm CRD# 298326

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Erin Hershey Serrate · LEXINGTON, KY

Registration

CRD #4787050 · ASIO CAPITAL LLC · 22 years registered

Brand Profile

Not yet started

Career History

ASIO CAPITAL LLC

Aug 2018 – present

BB&T INVESTMENT SERVICES, INC.

Jan 2007 – Apr 2012

LEXINGTON, KY

U.S. BANCORP INVESTMENTS, INC.

Jan 2006 – Jan 2007

IRVINE, KY

AMERICAN EXPRESS FINANCIAL ADVISORS, INC.

Jul 2004 – Jun 2005

HIGH POINT, NC

Registrations & Exams

FINRA examinations passed

Series 7

Series 65

Series 66

Registration record

First registered · July 14, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ASIO CAPITAL LLC

CRD 298326 · SEC 801-113910

AUM

$500M

Regulatory assets under management

Employees

571 client accounts

Services offered by ASIO CAPITAL LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at ASIO CAPITAL LLC →

Introduction

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Frequently Asked Questions

What services does Erin Hershey Serrate offer?

Erin Hershey Serrate specializes in Investment Management, Wealth Management. Contact their office in LEXINGTON, Kentucky for a consultation.

What are Erin Hershey Serrate's credentials?

Erin Hershey Serrate is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Erin Hershey Serrate located?

Erin Hershey Serrate is based in LEXINGTON, Kentucky, working with ASIO CAPITAL LLC. Their office serves clients in the LEXINGTON metropolitan area and surrounding communities.

How does Erin Hershey Serrate charge for services?

Erin Hershey Serrate's firm is compensated through percentage of aum, other: asset-based fees for retirement plan consulting. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASIO CAPITAL LLC?

ASIO CAPITAL LLC has approximately 6 employees and manages $500M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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