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RM

Robert K. Murray

Some features on this profile are disabled
CRD#: 2197631
RM

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.

Robert Kenneth Murray was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 15, 2019 - November 23, 2020

KELSON CAPITAL LLC

BD
CRD#: 149477
STAMFORD, CT
Past

July 25, 2016 - March 8, 2018

HUTCHENS INVESTMENT MANAGEMENT INC

RIA
CRD#: 112312
Fort Myers, FL
Past

June 30, 2016 - December 31, 2016

SAFEGUARD SECURITIES, INC.

RIA
CRD#: 31256
Fort Myers, FL
Past

February 18, 2016 - December 31, 2016

SAFEGUARD SECURITIES, INC.

BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past

January 28, 2010 - April 7, 2014

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

July 16, 2008 - January 13, 2011

CAZENAVE AND CO., INC.

BD
CRD#: 20721
WESTMINSTER, CO
Past

June 23, 2003 - July 31, 2008

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
ROLLING HILLS ESTATES, CA
Past

October 18, 1996 - May 15, 2001

GARAL & COMPANY, INC.

BD
CRD#: 30503
SAN FRANCISCO, CA
Past

December 22, 1993 - August 21, 1996

LPM INVESTMENT SERVICES, INC

BD
CRD#: 33980
PALM BEACH, FL
Past

November 22, 1993 - December 31, 1993

ASCHER/DECISION SERVICES, INC.

BD
CRD#: 10034
SAN MARINO, CA
Past

December 18, 1991 - May 28, 1993

VAN ECK SECURITIES CORPORATION

BD
CRD#: 2269
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/27/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 9/14/1994
Non-Member General Securities Examination
General Industry/Product Exam
RR
Series 6
Date: 12/16/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KC
KELSON CAPITAL LLC
GTO GROUP, LLC | KELSON CAPITAL LLC

CRD#: 149477 / SEC#: , 8-68147

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Mailing Address
2 Ravenglass Drive 2nd Floor, Stamford, CT 06903
Phone number
(917) 691-8007
Established
New Jersey since 11/19/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KELSON GROUP I LLCMEMBER
BEATON, DANIEL STEWARTFINOP4240769
LEDVA, DANIEL JOSEPHEXEC. REP, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER,AML SUPERVISOR4607231
RATHJEN, BRIAN ALBERTMANAGING MEMBER, PRINCIPAL2819977

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.

Company Information

KELSON CAPITAL LLC

CRD#: 149477

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