Carlos Sera has been Managing Principal of Sera Capital Management Limited Liability since April 1990, is a control person of the firm and directly owns 75% or more of it. Carlos Sera holds a Bachelor of Arts in Natural Science from Johns Hopkins University and a Master of Business Administration in Finance and Applied Economics from the University of Rochester.
Sera Capital Management Limited Liability Company is an Annapolis, MD firm with $114M under management, 74 clients and 5 advisers across 3 offices, as of its June 2026 filing.
Carlos M. Sera is Founder and Managing Principal of Sera Capital. He is the author of Financial Tales.
Carlos Sera’s longest registration is the current one, 19 years at Sera Capital Management Limited Liability since 2007.
- Sera Capital Management, LLCCurrent– present · 19 yearsAnnapolis, MD · Adviser representative · Firm CRD 120896
- Chicago Wealth Management, Inc.– · 8 yearsBowie, MD · Adviser representative · Firm CRD 112271
Investment adviser representative registrations
Carlos Sera is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2007; the most recent is Texas, in April 2021.
- MarylandSince 10 July 2007
- TexasResidentSince 24 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 September 1996 |
| Series 3 | National Commodity Futures Examination | 6 January 1992 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 October 1987 |
| Series 7 | General Securities Representative Examination | 17 October 1987 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carlos Manuel Sera
- CRD
- 1736186
- Firm
- Sera Capital Management Limited Liability · CRD 120896
- Role
- Managing Principal
- Office
- 1910 TOWNE CENTRE BLVD, SUITE 250, Annapolis, MD 21401
- Registration
- Investment adviser registration
- In the industry since
- January 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- seracapital.com
Where does Carlos Sera work?
Carlos Sera has been Managing Principal of Sera Capital Management Limited Liability Company since April 1990, and is a control person of the firm.
Is Carlos Sera a financial advisor?
Yes. Carlos Sera has a current investment-adviser registration in Maryland and Texas, through Sera Capital Management Limited Liability since July 2007.
How many years of experience does Carlos Sera have?
Carlos Sera has 22 years in the financial industry, since January 2004, across 2 adviser firms.
What exams has Carlos Sera passed?
Carlos Sera has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in October 1987.
Where is Carlos Sera based?
Carlos Sera’s registered office is in Annapolis, MD.
Is Carlos Sera registered with FINRA?
No. Carlos Sera has no current broker registration.
How can I verify Carlos Sera’s record?
Search CRD 1736186 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carlos Sera’s full registration record.