Dennis F. 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.
Dennis Francis Murphy III, CFP® was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1991. Dennis had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2018 - February 21, 2023
SECURITIES AMERICA, INC.
August 8, 2016 - December 23, 2016
LPL FINANCIAL LLC
August 8, 2016 - December 18, 2023
THE PATRIOT FINANCIAL GROUP, LLC
October 17, 2011 - July 3, 2018
LPL FINANCIAL LLC
October 2, 2002 - November 4, 2011
KESTRA INVESTMENT SERVICES, LLC
May 18, 2001 - October 3, 2002
OSAIC WEALTH, INC.
September 10, 1999 - June 14, 2001
NEW ENGLAND SECURITIES
January 15, 1998 - September 14, 1999
TOWER SQUARE SECURITIES, INC.
July 13, 1992 - December 31, 1997
NEW ENGLAND SECURITIES
October 31, 1991 - June 6, 1992
AMERICAN SECURITIES & RESEARCH CORPORATION
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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