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Simina M. Farcasiu

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CRD#: 1413112
SF

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.

Simina Maria Farcasiu was a registered financial professional .

Simina is a previously registered financial professional and started their career in finance in 1985. Simina had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 34, Series 3, Series 5 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 29, 2016 - May 15, 2017

WM. H. MURPHY & CO., INC.

BD
CRD#: 27274
Princeton, NJ
Past

December 3, 2015 - June 6, 2016

I-BANKERS DIRECT, LLC

BD
CRD#: 167533
BOCA RATON, FL
Past

October 21, 2015 - December 22, 2015

V2V SECURITIES LLC

BD
CRD#: 131849
New York, NY
Past

September 26, 2008 - April 1, 2009

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

March 23, 2006 - September 26, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 17, 1999 - May 23, 2002

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 15, 1993 - February 24, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 22, 1985 - April 14, 1993

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 34
Date: 1/10/2013
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 12/20/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 12/10/1985
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/29/2016
General Securities Principal Examination

Current Firm

WH
WM. H. MURPHY & CO., INC.
WILLIAM H. MURPHY & CO., INC. | WM. H. MURPHY & CO., INC.

CRD#: 27274 / SEC#: , 8-42982

BD
Terminated by SEC on 08/28/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 08/14/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MURPHY, WILLIAM HERBERTPRESIDENT, DIRECTOR/CHIEF COMPLIANCE OFFICER343492

Disclosures

Regulatory Event1

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.

Company Information

WM. H. MURPHY & CO., INC.

CRD#: 27274

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