Kevin L. 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.
Kevin Laurence Murphy, who also goes by Kevin Lawrence Murphy, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1989. Kevin had worked at 7 firms and has passed the Series 63, Series 3 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
April 20, 2010 - January 31, 2014
CHATSWORTH SECURITIES LLC
February 26, 2008 - March 14, 2008
BUTLER CAPITAL PARTNERS
January 2, 2008 - February 22, 2008
EQUITABLE ADVISORS, LLC
February 2, 2005 - October 6, 2006
CRT CAPITAL GROUP LLC
March 21, 1999 - January 19, 2005
NEEDHAM & COMPANY, LLC
May 15, 1997 - January 22, 1999
DB ALEX. BROWN LLC
February 14, 1989 - May 15, 1997
SALOMON BROTHERS 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
Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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