Patrick L. 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.
Patrick Leland Murphy was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1987. Patrick had worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, SIE, Series 7, Series 22 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
March 23, 2020 - August 20, 2021
PATRICK CAPITAL MARKETS, LLC
July 7, 2017 - December 31, 2018
TERRA INCOME ADVISORS, LLC
June 14, 2017 - June 15, 2017
OSAGE PACIFIC ADVISORS, INC.
July 21, 2016 - March 26, 2020
TERRA CAPITAL MARKETS LLC
August 4, 2015 - July 7, 2016
PREFERRED CAPITAL SECURITIES, LLC
February 24, 2014 - August 20, 2015
FINANCE 500, INC.
March 1, 2010 - March 17, 2014
SAXONY CAPITAL MANAGEMENT, LLC
June 23, 2009 - March 17, 2014
PATRICK CAPITAL MARKETS, LLC
December 23, 2008 - June 10, 2009
K-ONE INVESTMENT COMPANY, INC.
December 22, 2008 - June 10, 2009
K-ONE INVESTMENT COMPANY, INC.
September 14, 2007 - September 19, 2008
OLD MUTUAL CAPITAL
October 6, 2004 - September 19, 2008
OLD MUTUAL INVESTMENT PARTNERS
July 26, 2001 - September 27, 2004
TRANSAMERICA CAPITAL, LLC
June 22, 1994 - March 9, 2000
DELAWARE DISTRIBUTORS, L.P.
February 3, 1994 - September 15, 1994
CNR SECURITIES, LLC
February 13, 1987 - October 16, 1992
RANCON SECURITIES CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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