Heather Serna
Heather Serna is a CFP-designated registered investment advisor at Citigroup Global Markets INC., based in Pinecrest, FL, with 14 years of industry experience. Heather operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
CWM Retail, Sales, 9131 S. Dixie Hwy, Pinecrest, FL, 33156
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Regulatory History (1)
Customer Dispute
February 2024Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.Broker
State Registrations3 states
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.