Christy A. Mcmurry
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.
Christy Anne Mcmurry, who also goes by Christy Anne Brown, Christy Anne Pennigton, Christy Anne Pennington, was a registered financial professional .
Christy is a previously registered financial professional and started their career in finance in 2002. Christy had worked at 5 firms and has passed the 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
December 23, 2015 - August 3, 2017
STERN BROTHERS & CO.
January 8, 2013 - January 3, 2014
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 23, 2010 - December 14, 2012
PNC CAPITAL MARKETS LLC
January 5, 2005 - February 20, 2009
FIFTH THIRD SECURITIES, INC.
March 29, 2002 - January 3, 2005
SEASONGOOD & MAYER
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
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
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.
