Neil D. 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.
Neil Dennis Murphy, who also goes by Neil D Murphy, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1993. Neil had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - December 21, 2015
SOURCE CAPITAL GROUP, INC.
February 27, 1996 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
October 26, 1995 - February 20, 1996
SECURITIES SERVICE NETWORK, LLC
September 26, 1995 - December 16, 1995
KEOGLER, MORGAN & COMPANY, INC.
August 28, 1995 - September 26, 1995
UNITED SECURITIES ALLIANCE, INC.
April 6, 1993 - September 15, 1995
PFS INVESTMENTS 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
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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