John J. Murphy
Professional summary
John Joseph Murphy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, John had worked at 4 firms, which includes W.A. CAPITAL MARKETS, EMR SECURITIES INC., DAHLKE & CO. INC., TITUS & DONNELLY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1996 - April 9, 1999
W.A. CAPITAL MARKETS
May 11, 1989 - October 22, 1996
EMR SECURITIES, INC.
October 20, 1983 - April 13, 1989
DAHLKE & CO., INC.
December 15, 1982 - July 11, 1983
TITUS & DONNELLY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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