Joe Dennis Murray | Financial Professional | Eureka Springs, Arkansas

Professional summary

Joe Dennis Murray is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Eureka Springs, Arkansas and CABOT LODGE SECURITIES LLC located in Holiday Island, Arkansas.

Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Joe has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Eureka Designs, Not investment related, Holiday Island, AR, Proprietor, 11/2013, 6 hours per month, zero hours during trading hours, provide resort service including historical walking tours, weddings, and jewelry sales. 2) Dennis Murray, investment related, fixed life insurance and fixed annuity business, Holiday Island, AR, Agent, 11/1991, 40 hours per month, 4 hours per month during trading hours, sell fixed life and annuity products when appropriate for clients. 3) Neighborhood Financial Solutions, investment related, DBA for marketing my services as a financial advisor as part of my duties with Cabot Lodge Securities and CL Wealth Management, Financial Advisor, DATE, 40 hours per month,, 4 hours per month during trading hours, provide retail brokerage services and financial advisory services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Dennis Murray's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2023 - Present

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

Eureka Springs, AR

Current

January 3, 2023 - Present

CABOT LODGE SECURITIES LLC

BD

CRD#: 159712

Holiday Island, AR

Past

September 30, 2019 - December 31, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

EUREKA SPRINGS, AR

Past

September 26, 2019 - December 31, 2022

J.W. COLE FINANCIAL, INC.

BD

CRD#: 124583

Eureka Springs, AR

Past

August 5, 2014 - September 28, 2019

SB ADVISORY, LLC

RIA

CRD#: 154680

ROGERS, AR

Past

November 13, 2012 - September 28, 2019

IFS SECURITIES

BD

CRD#: 40375

Eureka, AR

Past

November 15, 1991 - November 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ROGERS, AR

Past

October 23, 1991 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD

CRD#: 6321

MINNEAPOLIS, MN

Past

October 23, 1991 - November 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD

CRD#: 6363

ROGERS, AR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arkansas
(1/3/2023)

IAR

Arkansas
(1/3/2023)

RR

California
(1/3/2023)

IAR

California
(1/4/2023)

RR

Missouri
(1/3/2023)

IAR

Missouri
(1/4/2023)

RR

Oklahoma
(1/3/2023)

IAR

Oklahoma
(1/4/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 12/2/2014

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 9/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/21/1991

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

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.

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Advisor Monitoring

Firm Stability Insights

Joe D. Murray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Dennis Murray's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

SB ADVISORY, LLC

IFS SECURITIES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2014

Series 63

Date: 9/24/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/21/1991

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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