Ana M Serna

CRD 2922458 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Coral Gables, FL

IA RegisteredBroker

Also appears in the source record as: Ana M Gonzalez; Ana Maria Gonzalez; Ana Maria Serna; Ana Serna

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 65Series 66Series 63
Registered states (31): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Indiana · Kansas · Kentucky · Maine · Maryland · Massachusetts · Michigan · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · South Carolina · South Dakota · Texas · Vermont · Virginia · Washington · Wyoming
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2922458 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Coral Gables, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Coral Gables, FL · BC capacity

start not retrieved → present
Morgan Stanley
Miami, FL · IA capacity

Mar 11, 2022 → Aug 11, 2022
Morgan Stanley
Miami, FL · BC capacity

Jul 9, 2021 → Aug 11, 2022
Wells Fargo Clearing Services, LLC
Miami, FL · BC capacity

Mar 8, 2017 → Jun 11, 2021
Ubs Financial Services Inc.
Coral Gables, FL · BC capacity

Jun 7, 2016 → Mar 8, 2017
Santander Securities LLC
Miami, FL · BC capacity

Apr 17, 2012 → Jan 21, 2015
Stanchart Securities International, Inc.
Miami, FL · BC capacity

Jan 12, 2009 → Mar 2, 2012
Global Strategic Investments, LLC
Brooklyn, NY · BC capacity

Jun 23, 2008 → Sep 18, 2008
Banc Of America Investment Services, Inc.
Miami, FL · IA capacity

Dec 4, 2003 → Jul 12, 2007
Banc Of America Investment Services, Inc.
Miami, FL · BC capacity

Nov 24, 2003 → Jul 12, 2007
Wachovia Securities, LLC
Miami, FL · IA capacity

Oct 2, 2002 → Nov 25, 2003
Donaldson, Lufkin & Jenrette Securities Corporation
Jersey City, NJ · BC capacity

Jan 26, 1999 → Oct 23, 2002

Source & corrections

Where this page comes from

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