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PABLO MARTIN SERNA
PAUL MARTIN SERNA, PAUL SERNA
CRD#: 2476441
IA
B
SVB WEALTHCRD#: 172832 2770 Sand Hill Road
Menlo Park, CA 94025
Menlo Park, CA 94025
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 2770 Sand Hill Rd
Menlo Park, CA 94025
Menlo Park, CA 94025
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5/5/2006
Customer Dispute
Settled
State Registrations
IA
California 3/8/2022
IA
Utah 5/23/2024
B
California 12/26/2023
IA
Washington 5/29/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/8/2022
B
Registered with this firm since 12/22/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/02/2020 - 12/31/2023 | Menlo Park, CA | |
IA | 03/12/2020 - 07/29/2022 | Menlo Park, CA | |
IA | 03/21/2003 - 04/14/2009 | MENLO PARK, CA | |
B | 03/21/2003 - 04/14/2009 | MENLO PARK, CA | |
IA | 05/15/2001 - 03/14/2003 | REDWOOD CITY, CA | |
B | 05/02/2001 - 03/14/2003 | SAN FRANCISCO, CA | |
B | 10/10/1997 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 05/09/1994 - 09/30/1997 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.