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Phillip Anthony Serra

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Farmington Hills, MI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2010-08-05
TX RA APPROVED_RES 1998-05-19
  • MI RA
    APPROVED
    Since 2010-08-05
  • TX RA
    APPROVED_RES
    Since 1998-05-19

Branch Locations

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Detroit MI 01/1989 Present
Bank Of America, N.A. Farmington Hills MI 05/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-22
S63 Uniform Securities Agent State Law Examination 1989-04-04
  • S65 Uniform Investment Adviser Law Examination
    1993-12-22
  • S63 Uniform Securities Agent State Law Examination
    1989-04-04
Designations
Other Names
  • Phil Serra
  • Philip Anthony Serra

View on SEC IAPD

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