Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ana? Claim Your ProfileAna Serna is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Ana has been working in the financial services industry for over 20 years. Ana is licensed to provide investment advice in 30 states and territories, and holds Series 7, 63, and 66 licenses. Ana has experience working with various clients, including individuals, families, businesses, corporations, and high-net-worth individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
10/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
FL
07/09/2021 - 08/11/2022
MORGAN STANLEY (Miami FL)
FL
03/08/2017 - 06/11/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
06/07/2016 - 03/08/2017
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
04/17/2012 - 01/21/2015
SANTANDER SECURITIES LLC (MIAMI FL)
FL
01/12/2009 - 03/02/2012
STANCHART SECURITIES INTERNATIONAL, INC. (MIAMI FL)
NY
06/23/2008 - 09/18/2008
GLOBAL STRATEGIC INVESTMENTS, LLC (BROOKLYN NY)
FL
11/24/2003 - 07/12/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (MIAMI FL)
MO
09/30/2002 - 11/25/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
01/26/1999 - 10/23/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
08/27/1997 - 01/20/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/10/2022
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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