Gilbert Serna

Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-07-30
IA	RA	APPROVED	2026-07-28

TX RA
APPROVED

Since 2026-07-30
IA RA
APPROVED

Since 2026-07-28

Branch Locations

El Paso, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Primerica Financial Services	El Paso	TX	04/2023	02/2025
Pfs Investments Inc	El Paso	TX	09/2024	02/2025
Walmart Stores Inc	El Paso	TX	12/2001	02/2025
Principal Life Insurance Company	Des Moines	IA	03/2025	Present
Principal Securities, Inc.	Des Moines	IA	03/2025	Present
Principal Advised Services	El Paso	TX	07/2026	Present
Principal Bank	Des Moines	IA	07/2026	Present

04/2023 → 02/2025

Primerica Financial Services

El Paso, TX
09/2024 → 02/2025

Pfs Investments Inc

El Paso, TX
12/2001 → 02/2025

Walmart Stores Inc

El Paso, TX
03/2025 → Present

Principal Life Insurance Company

Des Moines, IA
03/2025 → Present

Principal Securities, Inc.

Des Moines, IA
07/2026 → Present

Principal Advised Services

El Paso, TX
07/2026 → Present

Principal Bank

Des Moines, IA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-06-30
S63	Uniform Securities Agent State Law Examination	2024-12-19

S66 Uniform Combined State Law Examination

2026-06-30
S63 Uniform Securities Agent State Law Examination

2024-12-19

View on SEC IAPD