Richard J. 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.
Richard John Murphy, who also goes by Richard J Murphy, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 3 firms and has passed the Series 7A exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2008 - February 22, 2016
MONTECITO ADVISORS, INC.
October 29, 2001 - January 3, 2008
R.J. MURPHY & ASSOCIATES, LLC
October 1, 2000 - October 26, 2001
BOULDER SECURITIES CORP.
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 7A
Date: 1/28/2004
Floor Broker Representative ExamCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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