Andrew W. 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.
Andrew William Murray was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1988. Andrew had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
February 19, 2010 - April 8, 2020
FEDERATED SECURITIES CORP.
February 19, 2010 - April 8, 2020
FEDERATED INVESTMENT COUNSELING
February 19, 2010 - April 8, 2020
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
January 13, 2010 - April 8, 2020
FEDERATED SECURITIES CORP.
July 8, 2004 - October 13, 2005
CHASE INVESTMENT SERVICES CORP.
February 20, 2001 - December 15, 2003
CHASE INVESTMENT SERVICES CORP.
May 14, 1997 - March 12, 1999
J.P. MORGAN SECURITIES INC.
April 1, 1996 - October 4, 1996
J.P. MORGAN SECURITIES INC.
November 27, 1993 - April 1, 1996
CHASE SECURITIES, INC.
December 13, 1989 - December 31, 1991
GOLDK INVESTMENT SERVICES, INC
September 20, 1988 - April 6, 1989
HOWARD TAYLOR SECURITIES, INC.
Primary Firm SEC Registration
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
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
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FII HOLDINGS, INC. | OWNER | |
| ARONSOHN, JEFF DAVIS JR | COMPLIANCE OFFICER | 5414359 |
| BURKE, BRYAN MARKHAM | EXECUTIVE VICE PRESIDENT | 2659959 |
| DONAHUE, THOMAS ROBERT | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2766434 |
| EISENBRANDT, PETER WILLIAM | EXECUTIVE VICE PRESIDENT | 1676319 |
| FAVERO, AUTUMN LYNN | ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 7844158 |
| GERMAIN, PETER JOSEPH | DIRECTOR/VICE PRESIDENT | 4152014 |
| MOORE, KARY ANNE | SECRETARY | 5989808 |
| NOVAK, RICHARD ANTHONY | TREASURER | 2901271 |
| RONAYNE, BRIAN SEAN | EXECUTIVE VICE PRESIDENT | 2158279 |
| SENCHAK, FRANK CARL | DIRECTOR | 6683477 |
| UHLMAN, PAUL ADAM | DIRECTOR AND PRESIDENT | 2043674 |
| VAN METER, STEPHEN PAUL | CHIEF COMPLIANCE OFFICER | 6020413 |
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.
