Murray S. Bishop
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.
Murray Stanton Bishop was a registered financial advisor .
Murray is a previously registered financial advisor and started their career in finance in 1986. Murray had worked at 9 firms and has passed the Series 63, Series 3, 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
April 30, 2001 - September 12, 2003
CUNA BROKERAGE SERVICES, INC.
September 19, 2000 - September 12, 2003
CUNA BROKERAGE SERVICES, INC.
June 9, 1998 - October 2, 2000
IDS LIFE INSURANCE COMPANY
June 9, 1998 - October 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
February 27, 1996 - July 31, 1998
NATIONAL PLANNING CORPORATION
August 12, 1994 - May 4, 1995
WELLS FARGO SECURITIES INC.
March 1, 1991 - August 25, 1994
PROTECTED INVESTORS OF AMERICA
June 5, 1990 - February 1, 1991
ASB FINANCIAL SERVICES
February 7, 1990 - June 8, 1990
PROTECTED INVESTORS OF AMERICA
November 8, 1989 - February 13, 1990
FINANCIAL WEST INVESTMENT GROUP
December 11, 1986 - October 30, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 1986 - October 10, 1986
LEHMAN BROTHERS 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
