Stephen 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.
Stephen Peter Murphy, who also goes by Steve Murphy, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - October 30, 2020
CANACCORD GENUITY LLC
March 26, 2012 - March 29, 2012
CANACCORD GENUITY LLC
March 17, 2010 - September 27, 2012
CANACCORD GENUITY SECURITIES LLC
April 24, 1997 - March 17, 2010
NATIXIS SECURITIES AMERICAS LLC
November 13, 1993 - May 16, 1997
CHARLES SCHWAB & CO., INC.
August 12, 1993 - December 16, 1993
CHEMICAL INVESTOR SERVICES, INC.
March 20, 1992 - August 10, 1993
CHARLES SCHWAB & CO., INC.
May 21, 1990 - August 12, 1991
NORTHERN TRUST SECURITIES, INC.
October 29, 1988 - December 15, 1988
A. G. EDWARDS & SONS, INC.
June 21, 1988 - October 15, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 11/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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.
