Stephen Warren Murray

CRD 1639702 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Riverhead, NY

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 57TOSIESeries 31Series 55Series 7Series 66Series 63
Registered states (3): Massachusetts · New Jersey · New York
Years in the industry (source record): 33
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 (9)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Riverhead, NY · BC capacity

start not retrieved → present
Ameriprise Financial Services, Inc.
New York, NY · BC capacity

May 19, 2006 → Jun 26, 2006
Cibc World Markets Corp.
New York, NY · BC capacity

Dec 8, 2004 → Sep 26, 2005
Chapdelaine Corporate Securities & Co
New York, NY · BC capacity

Mar 25, 2002 → Dec 8, 2004
Electronic Trading Group, LLC
New York, NY · BC capacity

Mar 28, 2001 → Mar 14, 2002
Liberty Brokerage Inc.
Jersey City, NJ · BC capacity

Jul 18, 1994 → Sep 8, 1997
Cantor Fitzgerald Securities
New York, NY · BC capacity

Aug 22, 1991 → Aug 1, 1994
Clifford Drake & Company Inc.
New York, NY · BC capacity

Apr 29, 1987 → Oct 16, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1639702 ↗ FINRA BrokerCheck record for CRD 1639702 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.