Adriana Serna, financial advisor Chicago IL
93 score

Adriana Serna

CRD Number: 3128143
Current Firm: Ubs Financial Services Inc.

Adriana Serna (CRD# 3128143) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Chicago, IL and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Chicago, IL Aug 2017 - Current < 1
Morgan Stanley Bloomfield Hills, MI Jan 2017 - Aug 2017 < 1
Morgan Stanley Farmington Hills, MI Apr 2016 - Jan 2017 < 1
Morgan Stanley Birmingham, MI Oct 2015 - Apr 2016 < 1
Morgan Stanley Chicago, IL Jun 2014 - Oct 2015 1
Morgan Stanley Chicago, IL Aug 2012 - Jun 2014 1
Esther Flowers Of Northbrook Northbrook, IL Oct 2011 - May 2012 < 1
Ubs Financial Services Inc. Washington, DC Feb 2009 - Sep 2011 2
Morgan Stanley & Company Incorporated Washington, DC Nov 2008 - Feb 2009 < 1
Re Investment Corporation Arlington, VA Jul 2008 - Nov 2008 < 1
Re Advisers Corporation Arlington, VA Jul 2008 - Nov 2008 < 1
Nreca Arlington, VA Jul 2008 - Nov 2008 < 1
Morgan Stanley & Company Incorporated Chicago, IL Feb 2007 - Jun 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2004
S66 NASAA Uniform Combined State Law Examination Sep 2007
Contact Info for Adriana Serna
Phone Number: 201-352-3000
Registered State(s):
  • IL
  • TX
By the Numbers
  • Total Assets Under Management
    391,710
    MILLIONS
  • Total Number of Accounts
    885,967
    ACCOUNTS
  • Average Account Value
    $442,127
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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