Jerome E. 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.
Jerome Ennis Murphy, who also goes by Ennis Murphy, J E Murphy, J Ennis Murphy, Jerome Ennis Murphy, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1986. Jerome had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2015 - June 16, 2016
ACADEMY SECURITIES, INC.
January 15, 2010 - October 31, 2014
RBC CAPITAL MARKETS, LLC
January 15, 2010 - October 31, 2014
RBC CAPITAL MARKETS, LLC
May 11, 2009 - January 4, 2010
UTENDAHL CAPITAL PARTNERS, L.P.
May 11, 2009 - January 4, 2010
UTENDAHL CAPITAL GROUP, LLC
December 2, 2003 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 1986 - May 1, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (41 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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