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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

Dennis Serio

Advisor at FIFTH THIRD SECURITIES, INC.

DALLAS, TX | Dallas, TX

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Search this name across graphsid dfx:ria:0a0b14d5-10af-1bfb-1393-d9a0066b8d32

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 1, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIFTH THIRD SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 16, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 1
Exams: S63|S66
First exam: Dec 16, 1985
First registration: May 1, 2002
Dual registered: yes, broker-dealer
Other names: DENNIS MICHAEL SERIO|Dennis Serio
IAPD individual key: 1440101

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jul 9, 2026	n/a	yes	DALLAS, TX\|Dallas, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 3, 2023	n/a	yes	Dallas, TX\|Dallas, TX	Current employment
COMERICA SECURITIES	Former SEC adviser	Jun 18, 2021	Nov 3, 2023	no	DALLAS, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 2, 2006	Aug 3, 2007	no	ADDISON, TX\|DALLAS, TX	Previous registration
COMERICA SECURITIES	Former SEC adviser	May 1, 2002	Sep 29, 2006	no	DALLAS, TX\|DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMERICA SECURITIES	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 3, 2023	Nov 3, 2023	0	Bulk transfer	RIA to ibd
WELLS FARGO ADVISORS	COMERICA SECURITIES	Aug 3, 2007	Jun 18, 2021	5,068	Firm change after gap	Other
COMERICA SECURITIES	WELLS FARGO ADVISORS	Sep 29, 2006	Oct 2, 2006	3	Firm change	Other

Relationships

Registered with (4)

→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: current employment
Jul 9, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Jun 18, 2021 to Nov 3, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 2, 2006 to Aug 3, 2007factForm ADV

Dated events

No dated event names this entity yet.