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PHILLIP ANTHONY SERRA
PHIL SERRA, PHILIP ANTHONY SERRA
CRD#: 1921548
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 39001 W 12 MILE RD
FARMINGTON HILLS, MI 48331
Registration History
19901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - Present (26 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - Present (35 years)
Disclosure(s)
View By:
4/4/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 5/27/2014

IA
Michigan 8/5/2010

B
California 5/17/2002

B
New York 5/20/2021

B
Colorado 9/28/2023

B
North Carolina 11/5/2009

B
Connecticut 6/30/2004

B
Ohio 4/25/2023

B
Florida 10/23/2002

B
Pennsylvania 12/21/2023

B
Georgia 1/10/2006

B
Tennessee 6/18/2024

B
Illinois 10/9/2007

IA
Texas 5/19/1998

B
Indiana 3/17/1998

B
Virginia 8/2/2024

B
Louisiana 10/14/2011

B
Washington 10/18/2022

B
Massachusetts 7/22/2021

B
Wisconsin 1/19/2021

B
Michigan 5/16/1989

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
39001 W 12 MILE RD, FARMINGTON HILLS, MI 48331
Registered with this firm since 5/19/1998

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
39001 W 12 MILE RD, FARMINGTON HILLS, MI 48331
Registered with this firm since 5/10/1989

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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.