John W. Murdy
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 William Murdy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 16 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2013 - January 23, 2015
AVENIR FINANCIAL GROUP
October 19, 2011 - September 20, 2012
PHX FINANCIAL, INC.
May 24, 2010 - May 23, 2011
ALEXANDER CAPITAL, L.P.
April 28, 2010 - May 21, 2010
BROOKSTONE SECURITIES, INC.
August 7, 2009 - November 23, 2009
OBSIDIAN WEALTH MANAGEMENT, LLC
April 14, 2008 - May 24, 2010
OBSIDIAN FINANCIAL GROUP, LLC
March 5, 2007 - July 25, 2008
WESTROCK ADVISORS, INC.
September 8, 2006 - February 21, 2007
WORLD EQUITY GROUP, INC.
December 21, 2005 - September 14, 2006
WESTROCK ADVISORS, INC.
October 26, 2004 - December 15, 2005
CITICORP INVESTMENT SERVICES
April 11, 2002 - October 14, 2004
CITIGROUP GLOBAL MARKETS INC.
July 17, 2000 - December 5, 2001
CITICORP INVESTMENT SERVICES
December 4, 1998 - July 17, 2000
BNY MELLON SECURITIES CORPORATION
June 13, 1997 - October 8, 1998
NORTHEAST SECURITIES, LLC
April 8, 1997 - May 16, 1997
MORGAN STANLEY DW INC.
January 25, 1994 - April 11, 1997
LEHMAN BROTHERS INC.
January 30, 1989 - February 14, 1989
THE STUART-JAMES COMPANY, INCORPORATED
May 25, 1988 - January 3, 1989
ADLER COLEMAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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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