AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
TM

Thomas Joseph Murray Jr

CRD# 1894655·Registered 1988 - 2025
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Joseph Murray JR, who also goes by Thomas J Murray, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1988 - 2025. Thomas had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 53, Series 4, Series 8, Series 24 and Series 27 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas J Murray

Blog Corner

Similar Advisors

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

37 years in the financial services industry

Current & Past Employments

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC·CRD# 170062
BD
Wellesley Hills, MA
July 24, 2018 - January 24, 2025
CLARENDON INSURANCE AGENCY, INC.·CRD# 7395
BD
Waltham, MA
July 15, 2008 - August 23, 2013
SUN LIFE FINANCIAL DISTRIBUTORS, INC.·CRD# 5496
BD
Wellesley Hills, MA
July 15, 2008 - September 28, 2018
IFMG SECURITIES, INC.·CRD# 14416
BD
Purchase, NY
August 3, 2006 - June 13, 2008
NYLIFE DISTRIBUTORS LLC·CRD# 35350
BD
Jersey City, NJ
December 3, 2001 - April 15, 2005
EAGLE STRATEGIES CORP·CRD# 36707
BD
November 4, 1996 - February 19, 1997
NYLIFE DISTRIBUTORS LLC·CRD# 35350
BD
Jersey City, NJ
November 4, 1996 - August 14, 2001
NYLIFE SECURITIES LLC·CRD# 5167
BD
Sleepy Hollow, NY
October 26, 1992 - August 1, 2006
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
August 27, 1990 - October 9, 1992
SHARPE CAPITAL, INC.·CRD# 18452
BD
New York, NY
December 20, 1988 - April 30, 1990

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

SL
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

BKUS CAPITAL LLC | SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | REALFUND CAPITAL LLC | EDGEMOOR PARTNERS LLC

CRD#: 170062 / SEC#: 8-69407
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

96 Worcester Street, Wellesley Hills, MA 02481

Mailing Address

96 Worcester Street, Wellesley Hills, MA 02481

Phone Number

(774) 217-3429

Established

Delaware since 10/11/2013

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
SLC ASSET MANAGEMENT (US HOLDINGS) LLC (US)MANAGING MEMBER—
DREPAUL, ROSHNI ARUNAFINOP, PFO,POO6487453
LOUSARARIAN, BRETT JULIUSPRESIDENT5464727
MAGROSKY, EMILY CATHERINECHIEF COMPLIANCE OFFICER7945134

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1989About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1988About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 1993About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1992About the Series 4 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Apr 1992

Series 24 — General Securities Principal Examination

Passed Apr 1989About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 1989About the Series 27 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
TM
Follow Thomas
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required