Stephen F. Murphy
Professional summary
Stephen F Murphy, who also goes by Stephen F Murphy, Stephen Francis Murphy, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in Rancho Slanta Fe, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen F Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
UBS ASSET MANAGEMENT (US) INC.
April 12, 2010 - May 1, 2024
CREDIT SUISSE SECURITIES (USA) LLC
March 31, 2010 - April 16, 2024
CREDIT SUISSE SECURITIES (USA) LLC
October 2, 2007 - December 5, 2008
BLACKROCK FINANCIAL MANAGEMENT, INC
October 2, 2007 - December 5, 2008
BLACKROCK INVESTMENTS, LLC
October 24, 2005 - October 2, 2007
QUELLOS FUND SERVICES, LLC
July 14, 2005 - October 2, 2007
QUELLOS PRIVATE CAPITAL MARKETS, L.P.
September 7, 2004 - October 2, 2007
QUELLOS CAPITAL MANAGEMENT LP
August 27, 2004 - October 24, 2005
CFT SECURITIES, LLC
July 29, 2003 - January 9, 2004
CAPROCK SERVICES, LTD.
January 7, 2001 - August 23, 2001
WHITNEY CAPITAL MARKETS LLC
September 15, 1994 - May 17, 2000
JPMSI
September 27, 1993 - September 9, 1994
CITIGROUP GLOBAL MARKETS INC.
October 9, 1992 - September 28, 1993
LEHMAN BROTHERS 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
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Exams
FINRA
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
