Thomas J. 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.
Thomas Joseph Murray JR, who also goes by Thomas J Murray, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2018 - January 24, 2025
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
July 15, 2008 - August 23, 2013
CLARENDON INSURANCE AGENCY, INC.
July 15, 2008 - September 28, 2018
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 3, 2006 - June 13, 2008
IFMG SECURITIES, INC.
December 3, 2001 - April 15, 2005
NYLIFE DISTRIBUTORS LLC
November 4, 1996 - February 19, 1997
EAGLE STRATEGIES CORP
November 4, 1996 - August 14, 2001
NYLIFE DISTRIBUTORS LLC
October 26, 1992 - August 1, 2006
NYLIFE SECURITIES LLC
August 27, 1990 - October 9, 1992
CITIGROUP GLOBAL MARKETS INC.
December 20, 1988 - April 30, 1990
SHARPE CAPITAL, INC.
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: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 4/13/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
CRD#: 170062 / SEC#: , 8-69407
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
