SS
Serina M. Shores
SVB WEALTH
New Albany, OH
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CRD#: 4076684
SS
Professional summary
Serina M. Shores, who also goes by Serina Moro Koranteng, is a registered financial advisor currently at SVB WEALTH located in New Albany, Ohio and FIRST CITIZENS ASSET MANAGEMENT, INC located in New Albany, Ohio.
Serina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Serina has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Serina Moro Koranteng
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.
NATIONAL CENTER FOR WOMEN & INFORMATION TECHNOLOGY 1111 ENGINEERING DRIVE ECCE-1B-36 BOULDER CO 80309 POSITION: Regional Affiliate Coordinator NATURE: Board Member / Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2014 ADDRESS: NCWIT - University of Colorado, 417 UCB, Boulder CO 80309, United States DESCRIPTION: NCWIT Aspirations in Computing is a talent development pipeline initiative of the National Center for Women & Information Technology (NCWIT). This program is designed to increase female participation in technology careers by providing encouragement, visibility, community, leadership opportunities, scholarships, and internships to high-potential, technically inclined young women. Since 2007, NCWIT has inducted more than 2,200 young women into the Aspirations in Computing community and helped usher them into careers in technology. Find out more: www.aspirations.org or aspirations@ncwit.org. NCWIT Aspirations in Computing provides structured, long-term engagement and support for young women in technology, from middle school through high school and from college into the workforce. NCWIT Aspirations in Computing includes the following programs: Award for Aspirations in Computing Aspirations in Computing community AspireIT, a middle school outreach program Aspirations in Computing Educator Award SVB Wealth, 53 State Street 28th Floor, Boston, MA 02109; SVBW is an affiliated IA Firm. As the Compliance Director duties are overseeing the broker dealer and RIA businesses including SVB Wealth. FCAM; 8540 Colonnade Center Drive, Raleigh, NC 27615. FCAM is an affiliated IA Firm. As the Compliance Director duties are overseeing the broker dealer and RIA businesses including SVB Wealth. Maryhaven; 1791 Alum Creek Columbus, OH 43207. Maryhaven is a non-profit rehabilitation organization in Ohio that offers treatments ad care for drug, alcohol and gambling addictions. I am a board member for Maryhaven- Ohio. As a board member, my responsibilities include providing strategic guidance, ensuring fiscal oversight, supporting fundraising efforts, upholding governance practices, and using my expertise and network to advance Maryhaven's impact in the community. Position began 2/28/2024.
CRS (Client Relationship Summary) - RIA
Click below to view Serina M. Shores's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 20, 2025 - Present
SVB WEALTH
RIA
CRD#: 172832
New Albany, OH
Current
June 20, 2025 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
RIA
CRD#: 140777
New Albany, OH
Current
June 20, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
BD
CRD#: 44430
New Albany , OH
Current
June 17, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
BD
CRD#: 44430
New Albany , OH
Past
October 26, 2022 - June 9, 2025
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
COLUMBUS, OH
Past
August 28, 2014 - June 9, 2025
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
October 1, 2012 - August 21, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
COLUMBUS, OH
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
COLUMBUS, OH
Past
June 20, 2000 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
November 26, 1999 - June 15, 2000
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Ohio(6/17/2025)
IAR
Ohio(6/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
