Serre Murphy

CRD 1751531 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Miami, FL

IA RegisteredBroker

Also appears in the source record as: Serre L Murphy; Serre Livingston Murphy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 10Series 9Series 24Series 66Series 65Series 63
Registered states (7): California · District Of Columbia · Florida · Idaho · New York · North Carolina · Rhode Island
Years in the industry (source record): 29
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Miami, FL · IA capacity

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

start not retrieved → present
Northern Trust Securities, Inc.
Coral Gables, FL · BC capacity

Aug 24, 2010 → May 20, 2016
Vision Investment Services, Inc.
Coral Gabels, FL · BC capacity

Sep 9, 2010 → Sep 30, 2011
Charles Schwab & Co., Inc.
Coral Gables, FL · IA capacity

Nov 20, 1997 → Dec 11, 2009
Charles Schwab & Co., Inc.
Coral Gables, FL · BC capacity

Nov 17, 1997 → Dec 11, 2009
Citicorp Investment Services
Long Island City, NY · BC capacity

Jul 19, 1996 → May 28, 1997
Neuberger & Berman Management Incorporated
New York, NY · BC capacity

Apr 12, 1993 → May 17, 1996

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1751531 ↗ FINRA BrokerCheck record for CRD 1751531 ↗ 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.

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