Adriana Serena
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.
Adriana Serena, who also goes by Adriana Serena Downey, Adriana Serena Gomez, was a registered financial professional .
Adriana is a previously registered financial professional and started their career in finance in 1997. Adriana had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2017 - October 2, 2017
WILBANKS SECURITIES, INC.
March 22, 2006 - May 4, 2015
CETERA WEALTH SERVICES, LLC
August 7, 2003 - November 16, 2005
ALLSTATE FINANCIAL SERVICES, LLC
October 21, 2002 - July 21, 2003
EMPOWER FINANCIAL SERVICES, INC.
June 23, 1997 - October 21, 2002
ONE ORCHARD EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WILBANKS SECURITIES, INC.
CRD#: 40673 / SEC#: , 8-49134
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
