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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Serra is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Phillip has been in the financial services industry since May 9, 1989. Phillip is a Certified Financial Planner and has experience working with high net worth individuals, corporations or other businesses, individuals other than high net worth, pension and profit-sharing plans, charitable organizations, and insurance companies. Phillip Serra has several certifications and licenses, including a Series 7, 3, 63 and 65, as well as the SIE exam. Phillip has registrations in several states including Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Louisiana, Massachusetts, Michigan, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MI
05/19/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON HILLS MI)
IA
Issued 12/22/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1990
Series 3 - National Commodity Futures Examination
BC
Issued 03/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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