Stephen T. 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.
Stephen Thomas Murphy, who also goes by Stephen T Murphy, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 10, Series 9, Series 4, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2019 - July 7, 2026
COHEN & STEERS SECURITIES, LLC
March 27, 2017 - March 29, 2019
MIRAE ASSET SECURITIES (USA) INC.
October 10, 2011 - March 15, 2017
WEISS MULTI-STRATEGY FUNDS LLC
August 16, 2004 - April 26, 2010
WEISS MULTI-STRATEGY FUNDS LLC
September 28, 1998 - June 15, 2004
NEUBERGER BERMAN BD LLC
April 7, 1997 - October 12, 1998
LN SECURITIES, INC.
May 5, 1993 - February 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 2/4/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COHEN & STEERS SECURITIES, LLC
CRD#: 29258 / SEC#: , 8-44123
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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