Patricia E. Murray
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Ellyn Murray, who also goes by Tricia Murray, Patricia Ellyn Murraykocherer, Patricia E Ullman, Patricia Ellyn Ullmann, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 5 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2010 - December 9, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 1, 2009 - January 15, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 1, 2009 - December 9, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 5, 1995 - May 8, 2009
LPL FINANCIAL LLC
December 16, 1989 - May 8, 2009
LPL FINANCIAL LLC
June 2, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
March 31, 1983 - May 29, 1987
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
