Gilbert Serna

PRINCIPAL ADVISED SERVICES

EL PASO, TX

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CRD#: 7973275

Professional summary

Gilbert Serna is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in El Paso, Texas and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Gilbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Gilbert has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gilbert Serna's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 28, 2026 - Present

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

EL PASO, TX

Current

April 7, 2025 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

September 30, 2024 - February 11, 2025

PFS INVESTMENTS INC.

CRD#: 10111

EL PASO, TX

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".

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 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.

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

Alabama
(7/17/2026)

Alaska
(7/20/2026)

Arizona
(7/23/2026)

Arkansas
(7/17/2026)

California
(7/17/2026)

Colorado
(7/20/2026)

Connecticut
(7/17/2026)

Delaware
(7/17/2026)

District of Columbia
(7/17/2026)

Florida
(7/20/2026)

Georgia
(7/20/2026)

Hawaii
(7/20/2026)

Idaho
(7/17/2026)

Illinois
(7/20/2026)

Indiana
(7/17/2026)

Iowa
(7/17/2026)

IAR

Iowa
(7/28/2026)

Kansas
(7/17/2026)

Kentucky
(7/20/2026)

Louisiana
(7/23/2026)

Maine
(7/17/2026)

Maryland
(7/23/2026)

Massachusetts
(7/20/2026)

Michigan
(7/21/2026)

Minnesota
(7/17/2026)

Mississippi
(7/22/2026)

Missouri
(7/17/2026)

Montana
(7/22/2026)

Nebraska
(7/17/2026)

Nevada
(7/20/2026)

New Hampshire
(7/24/2026)

New Jersey
(7/17/2026)

New Mexico
(7/20/2026)

New York
(7/17/2026)

North Carolina
(7/20/2026)

North Dakota
(7/27/2026)

Ohio
(7/17/2026)

Oklahoma
(7/22/2026)

Oregon
(7/27/2026)

Pennsylvania
(7/20/2026)

Rhode Island
(7/20/2026)

South Carolina
(7/20/2026)

South Dakota
(7/17/2026)

Tennessee
(7/20/2026)

Texas
(4/7/2025)

IAR

Texas
(7/30/2026)

Utah
(7/17/2026)

Vermont
(7/17/2026)

Virginia
(7/22/2026)

Washington
(7/17/2026)

West Virginia
(7/22/2026)

Wisconsin
(7/17/2026)

Wyoming
(7/20/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2026

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/19/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/23/2026

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 9/28/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/25/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (1/2/2026)

PRINCIPAL ADVISED SERVICES TARGET MY RETIREMENT ADV PART 2A BROCHURE (1/2/2026)

PAS ADV 2A ADVICE BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	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

Gilbert Serna

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gilbert Serna's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2026

Series 63

Date: 12/19/2024

Series 7TO

Date: 5/23/2026

Series 6TO

Date: 9/28/2024

SIE

Date: 6/25/2024

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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