William S. 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.
William Swift Murphy, who also goes by Bill Murphy, William S Murphy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2002 - October 6, 2003
WESTMINSTER FINANCIAL SECURITIES, INC.
July 3, 2001 - June 27, 2002
HARDMAN FINANCIAL SERVICES, INC.
December 4, 1995 - September 24, 1999
RAYMOND JAMES & ASSOCIATES, INC.
October 21, 1985 - December 6, 1995
A. G. EDWARDS & SONS, INC.
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 8
Date: 1/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
