Thomas M Murphy

CRD 2474259 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Palm Beach, FL

IA RegisteredBroker

Also appears in the source record as: Mike Murphy; Michael Murphy; T Michael Murphy; Thomas Michael Murphy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 24Series 66Series 65Series 63
Registered states (11): Connecticut · Florida · Georgia · Illinois · Maine · Massachusetts · Nevada · New Jersey · New York · Pennsylvania · Texas
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2474259 contains one or more disclosure events as of Aug 20, 2026.

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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 (14)

From the source registration record · current first

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

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

start not retrieved → present
Umb Distribution Services, LLC
Portland, ME · BC capacity

Mar 12, 2024 → Aug 22, 2024
Manning & Napier Advisors, LLC
St. Petersburg, FL · IA capacity

Oct 8, 2021 → Mar 22, 2023
Manning & Napier Investor Services, Inc.
St. Petersburg, FL · BC capacity

Sep 28, 2021 → Mar 22, 2023
T. Rowe Price Advisory Services, Inc.
St. Petersburg, FL · IA capacity

Mar 15, 2018 → Mar 13, 2020
T. Rowe Price Investment Services, Inc.
Baltimore, MD · BC capacity

Jan 6, 2014 → Mar 13, 2020
Ubs Global Asset Management (Americas) Inc.
New York, NY · IA capacity

Oct 7, 2010 → Aug 29, 2013
Ubs Global Asset Management (US) Inc.
Newtown, PA · BC capacity

Dec 21, 2001 → Aug 29, 2013
Ubs Global Asset Management (US) Inc.
Newtown, PA · IA capacity

Feb 8, 2008 → Oct 6, 2010
Ubs Painewebber Inc.
Weehawken, NJ · BC capacity

Jun 7, 1999 → Jan 17, 2002
Van Kampen American Capital Distributors, Inc.
Houston, TX · BC capacity

Dec 19, 1996 → Mar 26, 1998
Sei Financial Services Company
Oaks, PA · BC capacity

Jul 6, 1994 → Oct 15, 1996
Legg Mason Wood Walker, Incorporated
Baltimore, MD · BC capacity

Oct 2, 1996 → Oct 7, 1996

Source & corrections

Where this page comes from

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