John E. Murphy
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.
John Edward Murphy, who also goes by Jack Murphy, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1986. John had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 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 30, 2014 - December 31, 2015
CAPITAL FINANCIAL SERVICES, INC.
November 6, 2013 - February 11, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 8, 2010 - November 18, 2011
MSI FINANCIAL SERVICES, INC.
December 9, 2009 - August 13, 2010
QUESTAR CAPITAL CORPORATION
May 7, 2004 - October 30, 2009
VOYA FINANCIAL ADVISORS, INC.
March 29, 2004 - May 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
March 29, 2004 - May 7, 2004
MSI FINANCIAL SERVICES, INC.
September 11, 2003 - March 31, 2004
LINCOLN INVESTMENT
June 25, 2003 - September 11, 2003
LEGACY ADVISORY SERVICES, INC.
April 1, 2003 - September 11, 2003
LEGACY FINANCIAL SERVICES, INC.
June 22, 1998 - April 28, 2003
INVESTACORP, INC.
March 17, 1997 - May 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 1995 - February 24, 1997
CITIGROUP GLOBAL MARKETS INC.
April 12, 1994 - December 31, 1995
WMA SECURITIES, INC.
May 29, 1991 - November 30, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 11, 1986 - May 18, 1990
NEW ENGLAND SECURITIES
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
CAPITAL FINANCIAL SERVICES, INC.
CRD#: 8408 / SEC#: 801-24253, 8-25203
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL FINANCIAL HOLDINGS, INC. | OWNER | |
| CHRISTIANSON, JOANNE MARIE | TREASURER | 5341634 |
| KAPPOTIS, ERNEST D | PRINCIPAL OPERATIONS OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | PRINCIPAL FINANCIAL OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | FINOP | 4871251 |
| POLLARD, DONALD ROBERT | PRESIDENT | 2181631 |
| POLLARD, DONALD ROBERT | CHIEF COMPLIANCE OFFICER | 2181631 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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.
