Stephen D. 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 Daniel Murphy, who also goes by Stephen 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 8 firms and has passed the Series 63, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2014 - September 24, 2014
STUART FRANKEL & CO., INCORPORATED
October 25, 2012 - March 14, 2014
BREAN CAPITAL, LLC
December 8, 2010 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
July 27, 2007 - November 22, 2010
WEEDEN & CO.L.P.
April 17, 1999 - March 30, 2007
UBS SECURITIES LLC
September 1, 1997 - March 11, 1999
DB ALEX. BROWN LLC
July 10, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
May 13, 1994 - July 3, 1997
UBS SECURITIES LLC
October 26, 1993 - May 16, 1994
CITIGROUP GLOBAL MARKETS 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 55
Date: 2/24/2006
Limited Representative-Equity Trader ExamCurrent Firm
STUART FRANKEL & CO., INCORPORATED
CRD#: 14593 / SEC#: , 8-17419
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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