James E. Murray
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.
James Edward Murray was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2012 - December 31, 2015
BROOKLIGHT PLACE SECURITIES, INC.
May 27, 2009 - November 28, 2011
WOODBURY FINANCIAL SERVICES, INC.
December 13, 2007 - December 31, 2008
THE LEADERS GROUP, INC.
May 24, 2006 - January 17, 2007
HARVEST CAPITAL LLC
July 19, 1999 - April 3, 2006
OSAIC FS, INC.
August 18, 1998 - July 12, 1999
VOYA FINANCIAL ADVISORS, INC.
May 19, 1987 - August 19, 1998
NEW ENGLAND SECURITIES
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
BROOKLIGHT PLACE SECURITIES, INC.
CRD#: 15764 / SEC#: 801-61232, 8-32673
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRAC ENTERPRISES LLC | SHAREHOLDER | |
| BROKERS ALLIANCE, INC. | SHAREHOLDER | |
| TRUHLAR, CHARLES ANTHONY | OWNER OF SHAREHOLDER, PRESIDENT, CHIEF COMPLIANCE OFFICER | 4533534 |
Red Flags
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