Michael J. 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.
Michael Joseph Murray was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - April 5, 2016
TD PRIME SERVICES LLC
April 2, 2014 - November 3, 2014
TD PRIME SERVICES LLC
January 27, 2011 - October 11, 2013
SSC NY CORP.
March 27, 1998 - February 13, 2009
MORGAN STANLEY & CO. LLC
August 18, 1994 - August 8, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 24, 1985 - April 27, 1987
TP ICAP GLOBAL MARKETS AMERICAS 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
Series 55
Date: 1/10/2008
Limited Representative-Equity Trader ExamSeries 25
Date: 9/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
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.
