Andrea G. 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.
Andrea G Murphy, who also goes by Andrea M Gehnrich, Andrea Marie Gehnrich, Andrea Marie Gehnrich Murphy, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1993. Andrea had worked at 6 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - November 14, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 9, 2002 - February 4, 2014
FEF DISTRIBUTORS, LLC
March 21, 2000 - December 9, 2002
NATIXIS SECURITIES AMERICAS LLC
July 14, 1997 - June 10, 1999
TUCKER ANTHONY INCORPORATED
March 13, 1997 - July 8, 1997
COWEN SECURITIES LLC
June 22, 1993 - February 20, 1997
OPPENHEIMERFUNDS DISTRIBUTOR, 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
Exams
Series 7TO
Date: 2/18/2025
General Securities Representative ExaminationSeries 6TO
Date: 3/14/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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