Adriana Serna

CRD 3128143 · J.P. Morgan Securities LLC · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Adriana Ramos; Adriana Serna; Adriana Topper

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 31Series 7Series 4Series 10Series 9Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (14)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Chicago, IL · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Chicago, IL · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Northbrook, IL · IA capacity

Aug 4, 2021 → Sep 21, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Northbrook, IL · BC capacity

Aug 4, 2021 → Sep 21, 2022
Ubs Financial Services Inc.
Chicago, IL · IA capacity

Sep 14, 2017 → Jul 23, 2021
Ubs Financial Services Inc.
Chicago, IL · BC capacity

Sep 14, 2017 → Jul 23, 2021
Morgan Stanley
Bloomfield Hills, MI · IA capacity

Aug 24, 2012 → Aug 14, 2017
Morgan Stanley
Bloomfield Hills, MI · BC capacity

Aug 24, 2012 → Aug 14, 2017
Morgan Stanley & Co. Incorporated
Washington, DC · BC capacity

Nov 26, 2008 → Feb 17, 2009
Re Advisers Corporation
Arlington, VA · IA capacity

Jul 28, 2008 → Nov 26, 2008
Re Investment Corporation
Arlington, VA · BC capacity

Jul 28, 2008 → Nov 3, 2008
Morgan Stanley & Co. Incorporated
Chicago, IL · IA capacity

Oct 3, 2007 → Jun 16, 2008
Harris Investor Services, Inc.
Chicago, IL · BC capacity

Jul 31, 2006 → Feb 22, 2007
Credit Suisse Securities (USA) LLC
Chicago, IL · BC capacity

May 4, 2004 → Aug 10, 2006

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 3128143 ↗ FINRA BrokerCheck record for CRD 3128143 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.