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Serina M. Shores

Investment Adviser Representative at FIRST CITIZENS ASSET MANAGEMENT, INC

New Albany, OHCRD #4076684Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
1 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Ohio
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/22/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 12/29/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/14/2002
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/23/1999
Series 14
Compliance Officer Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 2/23/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

First Citizens Asset Management, Inc Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FIRST CITIZENS INVESTOR SERVICES, INC.Current
6/20/2025New Albany, OH
FIRST CITIZENS ASSET MANAGEMENT, INCCurrent
6/20/2025New Albany, OH
SVB WEALTHCurrent
6/20/2025New Albany, OH
HUNTINGTON FINANCIAL ADVISORS
10/26/20226/9/2025Columbus, OH

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Serina M. Shores has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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