Susan Murphy

CRD 1096077 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Poughkeepsie, NY

IA RegisteredBroker

Also appears in the source record as: Susan L Abbott; Susan Lynn Abbott; Susan Lynn Murphy; Susan L Tyneway

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (4): Massachusetts · New Hampshire · New Jersey · New York
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Poughkeepsie, NY · IA capacity

Jul 29, 2004 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Poughkeepsie, NY · BC capacity

start not retrieved → present
A. G. Edwards & Sons, Inc.
BD capacity

Apr 16, 2004 → Jun 15, 2004
Equitrust Marketing Services, LLC
BD capacity

Nov 27, 2002 → Dec 15, 2003
Metropolitan Life Insurance Company
BD capacity

Dec 6, 2001 → Nov 21, 2002
Metlife Securities Inc.
BD capacity

Dec 6, 2001 → Nov 21, 2002
Pruco Securities Corporation
BD capacity

Mar 1, 1983 → Mar 10, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1096077 ↗ FINRA BrokerCheck record for CRD 1096077 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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