David M. 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.
David Michael Murray was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 7 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
September 23, 2021 - January 7, 2022
MONMOUTH CAPITAL MANAGEMENT LLC
August 1, 2017 - October 14, 2021
WORDEN CAPITAL MANAGEMENT LLC
January 3, 2014 - August 11, 2017
LAIDLAW & COMPANY (UK) LTD.
September 20, 2012 - January 31, 2014
WINDSOR STREET CAPITAL, LP
February 15, 2012 - September 25, 2012
BUCKMAN, BUCKMAN & REID, INC.
October 14, 2011 - February 15, 2012
WORDEN CAPITAL MANAGEMENT LLC
May 2, 2008 - October 27, 2009
MERCER CAPITAL LTD.
September 12, 2005 - May 8, 2006
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
March 6, 2003 - September 9, 2003
CHICAGO INVESTMENT GROUP, LLC
May 28, 1999 - January 24, 2001
LCP CAPITAL CORP.
February 17, 1998 - March 31, 1999
HD BROUS & CO., INC.
July 21, 1997 - December 24, 1997
MORGAN GRANT CAPITAL CORP.
May 24, 1993 - July 18, 1997
INVESTORS ASSOCIATES, INC.
January 2, 1992 - May 27, 1993
MELBOURNE GSI CORP.
September 11, 1991 - December 31, 1991
FIRST MONTAUK SECURITIES CORP.
October 19, 1988 - December 21, 1989
THE STUART-JAMES COMPANY, 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 99TO
Date: 1/1/2024
Operations Professional ExaminationCurrent Firm
MONMOUTH CAPITAL MANAGEMENT LLC
CRD#: 290248 / SEC#: , 8-70025
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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