Deann D. 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.
Deann Doris Murray, who also goes by Deann D. Leong, Deann Murray, Deann D. Newman, was a registered financial professional .
Deann is a previously registered financial professional and started their career in finance in 2001. Deann had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - December 12, 2012
AW SECURITIES
June 1, 2009 - June 11, 2010
MORGAN STANLEY
December 18, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 18, 2001 - December 19, 2007
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2001 - December 13, 2001
WELLS FARGO INVESTMENTS, 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
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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