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 John Murray, who also goes by Thomas Murray, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - March 5, 2012
INVESTORS CAPITAL CORP.
December 10, 2010 - February 28, 2012
SIGNATOR INVESTORS, INC.
April 20, 2009 - December 14, 2010
MML INVESTORS SERVICES, LLC
January 7, 2008 - April 2, 2009
ALLSTATE FINANCIAL SERVICES, LLC
April 5, 2007 - January 11, 2008
PRINCIPAL SECURITIES, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
