John F. Murphy
Professional summary
John F Murphy, who also goes by John Francis Murphy, John Murphy, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 14A, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John F Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2007 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262August 5, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262August 1, 2005 - June 4, 2007
LEERINK PARTNERS LLC
December 1, 2000 - December 1, 2004
CANACCORD GENUITY LLC
August 16, 1993 - August 14, 1996
JOHN HANCOCK CLEARING CORPORATION
May 25, 1993 - December 7, 2000
TUCKER ANTHONY INCORPORATED
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 14A
Date: 6/25/1995
Compliance Official Specialist ExamSeries 8
Date: 7/20/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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