Karl S. 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.
Karl Seiler Murray was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1988. Karl had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2007 - December 31, 2012
QUASAR DISTRIBUTORS, LLC
December 14, 2004 - October 10, 2005
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
March 22, 2001 - March 19, 2002
MORGAN STANLEY & CO. LLC
May 10, 1999 - January 6, 2003
MORGAN STANLEY DW INC.
March 12, 1994 - May 12, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 1, 1988 - March 9, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 1, 1988 - March 9, 1994
EQUITABLE ADVISORS, LLC
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
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
