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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

Cynthia M Serbia

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SAN FRANCISCO, CA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:6afad39a-55c8-8292-ed69-a6b657d1de8a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 17, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 28, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 28, 1992
First registration: Apr 17, 2007
Dual registered: yes, broker-dealer
Other names: CYNTHIA M ANABO|C ANABO|CYNTHIA MEDINA ANABO|CYNTHIA A MEDINA|CYNTHIA ALFONSO MEDINA|CYNTHIA MEDINA SERBIA
IAPD individual key: 1728704

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 2, 2025	n/a	yes	LOS ANGELES, CA\|SAN FRANCISCO, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	May 28, 2024	Jul 13, 2024	no	SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Dec 11, 2018	Jul 17, 2024	no	San Francisco, CA\|San Francisco, CA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jul 29, 2016	Dec 7, 2018	no	SAN FRANCISCO, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 7, 2015	Jul 26, 2016	no	San Ramon, CA\|OMAHA, NE	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 25, 2008	Feb 3, 2015	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 17, 2007	May 22, 2008	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|ENGLEWOOD, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	J.P. MORGAN SECURITIES LLC	Jul 17, 2024	May 28, 2024	-50	Channel change	Ibd to wirehouse
J.P. MORGAN SECURITIES LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 13, 2024	Apr 2, 2025	263	Firm change	Wirehouse to wirehouse
OPPENHEIMER & CO. INC.	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Dec 7, 2018	Dec 11, 2018	4	Firm change	Ibd to RIA
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	OPPENHEIMER & CO. INC.	Jul 26, 2016	Jul 29, 2016	3	Firm change	Other
CHARLES SCHWAB & CO., INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Feb 3, 2015	Oct 7, 2015	246	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
108559:79:CA:2024-07-08	Jul 17, 2024	May 28, 2024	SAN FRANCISCO, CA	Firm change after gap
79:7691:CA:2024-07-09	Jul 13, 2024	Apr 2, 2025	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Apr 2, 2025 to presentfactForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Dec 11, 2018 to Jul 17, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 28, 2024 to Jul 13, 2024factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jul 29, 2016 to Dec 7, 2018factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Oct 7, 2015 to Jul 26, 2016factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 25, 2008 to Feb 3, 2015factForm ADV

Dated events

Occurred
Jul 13, 2024
Advisor changed firm
Cynthia M Serbia left J.P. Morgan Securities Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-04-02)
Form ADVobserved 5 days ago