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Serre Murphy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-07
FL RA APPROVED 2018-08-31
  • TX RA
    APPROVED_RES
    Since 2019-01-07
  • FL RA
    APPROVED
    Since 2018-08-31

Branch Locations

8840 Sw 136Th St, Miami, FL 33176 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 05/2018 Present
Sierra Capital, Llc New York NY 02/2017 05/2018
Unemployed Coral Gables FL 07/2016 02/2017
Bank Of America, N.A. Miami FL 07/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-11
S65 Uniform Investment Adviser Law Examination 1994-06-08
S63 Uniform Securities Agent State Law Examination 1993-06-09
  • S66 Uniform Combined State Law Examination
    2018-08-11
  • S65 Uniform Investment Adviser Law Examination
    1994-06-08
  • S63 Uniform Securities Agent State Law Examination
    1993-06-09
Other Names
  • Serre L Murphy
  • Serre Livingston Murphy

View on SEC IAPD

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