DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

COSMIN GEORGE SERBAN

Advisor at MORGAN STANLEY

Beverly Hills, CA

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:da34aebc-a2a7-b991-6d9b-44c8e14159a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 24, 2009 to Sep 14, 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: MORGAN STANLEY
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: Aug 21, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 21, 2009
First registration: Aug 24, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5337871

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
MORGAN STANLEY	Wirehouse	Apr 7, 2014	n/a	yes	Beverly Hills, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Oct 28, 2011	Mar 26, 2014	no	BEVERLY HILLS, CA\|LOS ANGELES, CA\|HOUSTON, TX\|HOUSTON, TX\|LONG BEACH, CA\|EL SEGUNDO, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2011	Oct 11, 2011	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Apr 29, 2011	no	CYPRESS, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 24, 2009	Jan 3, 2011	no	CYPRESS, TX\|ANAHEIM, CA	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
WELLS FARGO ADVISORS	MORGAN STANLEY	Mar 26, 2014	Apr 7, 2014	12	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO ADVISORS	Oct 11, 2011	Oct 28, 2011	17	Firm change	Other
WELLS FARGO ADVISORS	CHASE INVESTMENT SERVICES CORP.	Apr 29, 2011	May 2, 2011	3	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Apr 7, 2014 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 28, 2011 to Mar 26, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2011 to Oct 11, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 24, 2009 to Jan 3, 2011factForm ADV

Dated events

No dated event names this entity yet.