Role at Parallel Advisors
- Registration
- Investment adviser representative, through Parallel Advisors, LLC since 13 September 2019
- Officer or owner
- Elaina Serotte is not listed among Parallel Advisors’ executive officers or direct owners.
The firm
Form ADV filed 29 June 2026
Career on record
Elaina Serotte has been registered through Parallel Advisors since September 2019, and before that through Mml Investors Services.
- Parallel Advisors, LLCCurrent– present · 7 yearsSan Francisco, CA · Adviser representative · Firm CRD 140800
- Passed Series 65 · 2019
- Passed Series 62 · 2004
- Mml Investors Services, LLC– · 10 yearsSan Francisco, CA · Adviser representative · Firm CRD 10409
- Passed Series 6 and Series 63 · 2002
Registrations and exams
Elaina Serotte is registered as an investment adviser representative in California and has passed 4 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 13 September 2019 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 September 2019 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 January 2002 |
| Series 62 | Corporate Securities Limited Representative Examination | 2 July 2004 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 January 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Adviser record
- Full name
- Elaina C Serotte
- CRD
- 3249136
- Registered in
- California
- Office
- 150 Spear Street, Suite 1600, San Francisco, CA 94105
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Elaina Serotte work?
Elaina Serotte is an investment adviser representative registered through Parallel Advisors, LLC since September 2019, and is not listed among the firm’s executive officers or direct owners.
Is Elaina Serotte a financial advisor?
Yes. Elaina Serotte is registered as an investment adviser representative in California, through Parallel Advisors since September 2019, as of 14 October 2026.
How many years of experience does Elaina Serotte have?
Elaina Serotte has worked in the financial industry for 16 years as of 14 October 2026, counted from 29 October 2009, across 2 adviser firms.
What exams has Elaina Serotte passed?
Elaina Serotte has passed 4 licensing exams: the Series 6, Series 63, Series 62 and Series 65. The earliest, the Series 6, was passed in January 2002.
Where did Elaina Serotte work before Parallel Advisors?
Before Parallel Advisors, Elaina Serotte was registered through Mml Investors Services, LLC, March 2004 to January 2014.
Where is Elaina Serotte based?
Elaina Serotte’s registered office is in San Francisco, CA.
Leadership at Parallel Advisors
Jerry RendicChief Executive Officer
Diane GabianelliChief Financial Officer
Sangeetha SrinivasanChief Compliance Officer- Daniel HaspelElected Manager
Jacob SchuttChief Wealth Officer