John P. Murley
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.
John Patrick Murley, who also goes by Pat Murley, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - December 7, 2006
FIRST WESTERN SECURITIES, INC.
December 17, 2001 - August 31, 2006
EDWARD JONES
June 5, 2000 - March 16, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - June 13, 2000
CITIGROUP GLOBAL MARKETS INC.
June 3, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
July 21, 1989 - June 17, 1993
UBS FINANCIAL SERVICES INC.
September 26, 1986 - July 25, 1989
A. G. EDWARDS & SONS, 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
Series 8
Date: 12/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST WESTERN SECURITIES, INC.
CRD#: 19537 / SEC#: 801-70430, 8-37613
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 41,715,412 |
Disclosures
| Regulatory Event | 5 |
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.
