Kenneth P. 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.
Kenneth Peter Murphy, who also goes by Ken Murphy, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2017 - November 29, 2018
STATE STREET GLOBAL MARKETS, LLC
December 3, 2015 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 1, 2010 - October 19, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 12, 2005 - May 1, 2010
BOFA DISTRIBUTORS, INC.
April 21, 2003 - August 25, 2005
DWS DISTRIBUTORS, INC.
October 4, 2000 - August 25, 2005
DEAM INVESTOR SERVICES, INC.
December 12, 1995 - September 22, 2000
SIGNATOR INVESTORS, INC.
April 5, 1995 - July 19, 1999
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS 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
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852 / SEC#: , 8-69862
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FISCHER, MARTIN ROBERT | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1692872 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
