TrueAdvisor
TrueAdvisor
PS
PS

Pablo Serna

LPL Financial LLC
21 Years of Experience
Palo Alto, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Pablo Serna is a registered investment advisor at LPL Financial LLC, based in Palo Alto, CA, with 21 years of industry experience. Pablo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

531 Cowper Street, Palo Alto, CA, 94301

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2006
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Pablo is dually registered with SVB Wealth LLC as an advisor, an affiliate of SVB Investment Services Inc. since April 2022. This activity is investment related.

Employment History
Current Registrations
LPL Financial LLC
December 2025 - Present · 10 mos
LPL Financial LLC
December 2025 - Present · 10 mos
LPL Financial LLCBroker
December 2025 - Present · 10 mos
Previous Registrations
First Citizens Investor Services, INC.
May 2025 - October 2025 · 5 mos
First Citizens Investor Services, INC.Broker
December 2023 - October 2025 · 1 yr 10 mos
Svb Wealth
March 2022 - October 2025 · 3 yrs 7 mos
Svb Investment Services INC.Broker
July 2020 - December 2023 · 3 yrs 5 mos
Svb Investment Services INC.
March 2020 - July 2022 · 2 yrs 4 mos
Banc of America Investment Services, INC.
March 2003 - April 2009 · 6 yrs 1 mo
Banc of America Investment Services, INC.Broker
March 2003 - April 2009 · 6 yrs 1 mo
Wells Fargo Investments, LLC
May 2001 - March 2003 · 1 yr 10 mos
Wells Fargo Investments, LLCBroker
May 2001 - March 2003 · 1 yr 10 mos
Wells Fargo Securities INC.Broker
October 1997 - May 2001 · 3 yrs 7 mos
Pruco Securities CorporationBroker
May 1994 - September 1997 · 3 yrs 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Palo Alto, CA →All financial advisors in California →