Daniel T. 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.
Daniel Thomas Murphy SR., who also goes by Daniel Thomas Murphy Sr, Daniel Thomas Murphy, Daniel Murphy Sr, Daniel Murphy, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 9 firms and has passed the Series 63 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
May 13, 2013 - May 29, 2014
VANGUARD MARKETING CORPORATION
July 13, 2012 - May 2, 2013
NATIONWIDE SECURITIES, LLC
June 15, 2010 - August 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
December 22, 2008 - March 29, 2010
MSI FINANCIAL SERVICES, INC.
June 25, 2008 - December 19, 2008
EQUITY SERVICES, INC.
December 11, 2007 - May 27, 2008
PRUCO SECURITIES, LLC.
August 12, 2002 - September 5, 2007
ALLSTATE FINANCIAL SERVICES, LLC
May 11, 2000 - August 14, 2002
NATIONWIDE SECURITIES, LLC
April 22, 1996 - December 31, 1999
PRINCIPAL SECURITIES, INC.
January 5, 1994 - January 18, 1996
SIGNATOR INVESTORS, INC.
January 4, 1994 - January 18, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 22, 1985 - December 2, 1993
PRUCO SECURITIES, LLC.
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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
