Pablo M. Serna

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CRD#: 2476441

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Pablo Martin Serna, who also goes by Paul Martin Serna, Paul Serna, was a registered financial professional .

Pablo is a previously registered financial professional and started their career in finance in 1994. Pablo had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7TO, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Martin Serna | Paul Serna

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Currently dually registered with SVB Wealth LLC as an Advisor, an affiliate of SVB Investment Services Inc. starting April 2022. It is investment related 1004 Whitehall Lane LLC, address is 683 Barbour Drive, Redwood City, CA 94062, Residential Home Rental Property; 1 hour/week, Yes, my wife and I are the trustees of our living trust, which owns 100% of the 1004 Whitehall Lane LLC.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 29, 2025 - October 30, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Menlo Park, CA

Past

December 22, 2023 - October 30, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

Menlo Park, CA

Past

March 8, 2022 - October 30, 2025

SVB WEALTH

RIA

CRD#: 172832

Menlo Park, CA

Past

July 2, 2020 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

Menlo Park, CA

Past

March 12, 2020 - July 29, 2022

SVB INVESTMENT SERVICES INC.

RIA

CRD#: 168116

Menlo Park, CA

Past

March 21, 2003 - April 14, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MENLO PARK, CA

Past

March 21, 2003 - April 14, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MENLO PARK, CA

Past

May 15, 2001 - March 14, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

REDWOOD CITY, CA

Past

May 2, 2001 - March 14, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 10, 1997 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

May 9, 1994 - September 30, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/13/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/11/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 2/3/2020

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 2/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615-3052

Mailing Address

P.o. Box 27131, Raleigh, NC 27611-7131

Phone number

(919) 986-3546

Established

North Carolina since 01/11/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

322

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST-CITIZENS BANK & TRUST COMPANY	100% OWNER
BILITER, DAVID LEE	DIRECTOR, PRESIDENT	1690995
CECE, MARY	SECRETARY	2135583
LONGEST, MICHAEL LEE	DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY	6692593
MARRONE, MARK STEPHEN	CHIEF COMPLIANCE OFFICER	1987907
MCCALLUM, CHARLES FALCONER III	DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE	2697260
WALSH, WILLIAM JAMES	DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR	4883580
WILSON, MICHAEL CHRISTOPHER	DIRECTOR, WEALTH MANAGEMENT EXECUTIVE	4301352

Regulatory assets under management

Total Number of Accounts	6,706
AUM (Assets Under Management)	$ 2,098,769,026

Disclosures

Regulatory Event	2
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Pablo M. Serna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB WEALTH

SVB INVESTMENT SERVICES INC.

SVB INVESTMENT SERVICES INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/13/2019

Series 65

Date: 8/3/1998

Series 63

Date: 5/6/1994

SIE

Date: 3/11/2020

Series 7TO

Date: 2/3/2020

Series 7

Date: 2/4/1998

Series 6

Date: 5/6/1994

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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