DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Adriana Serna

Advisor at J.P. MORGAN SECURITIES LLC

Chicago, IL | Boston, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c7d169f9-a280-d812-32b3-f77f02db97ca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 3, 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: J.P. MORGAN SECURITIES LLC
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: Jun 12, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 12, 2004
First registration: Oct 3, 2007
Dual registered: yes, broker-dealer
Other names: ADRIANA RAMOS|ADRIANA SERNA|ADRIANA TOPPER
IAPD individual key: 3128143

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 10, 2022	n/a	yes	Boston, MA\|Chicago, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 4, 2021	Sep 21, 2022	no	NORTHBROOK, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 14, 2017	Jul 23, 2021	no	CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Aug 24, 2012	Aug 14, 2017	no	Chicago, IL\|Birmingham, MI\|Farmington Hills, MI\|Bloomfield Hills, MI\|Waukesha, WI	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 23, 2009	Oct 10, 2011	no	WASHINGTON, DC	Previous registration
HOMESTEAD ADVISERS CORP.	Other adviser	Jul 28, 2008	Nov 26, 2008	no	ARLINGTON, VA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 3, 2007	Jun 16, 2008	no	ATLANTA, GA\|CHICAGO, IL	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Sep 21, 2022	Oct 10, 2022	19	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 23, 2021	Aug 4, 2021	12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Aug 14, 2017	Sep 14, 2017	31	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Oct 10, 2011	Aug 24, 2012	319	Firm change	Wirehouse to wirehouse
HOMESTEAD ADVISERS CORP.	UBS FINANCIAL SERVICES INC.	Nov 26, 2008	Feb 23, 2009	89	Firm change	Other
MORGAN STANLEY & CO. LLC	HOMESTEAD ADVISERS CORP.	Jun 16, 2008	Jul 28, 2008	42	Firm change	Other

Relationships

Registered with (6)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Oct 10, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 4, 2021 to Sep 21, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 14, 2017 to Jul 23, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 24, 2012 to Aug 14, 2017factForm ADV
→ HOMESTEAD ADVISERS CORP.Registered adviserregistration: previous registration
Jul 28, 2008 to Nov 26, 2008factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 3, 2007 to Jun 16, 2008factForm ADV

Dated events

Occurred
Sep 21, 2022
Advisor changed firm
Adriana Serna left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2022-10-10)
Form ADVobserved 6 days ago