Baron P. Murdock
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.
Baron Piccard Murdock was a registered financial professional .
Baron is a previously registered financial professional and started their career in finance in 1995. Baron had worked at 16 firms and has passed the Series 65, Series 63, 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
August 23, 2021 - November 28, 2022
PORTFOLIO MEDICS, LLC
July 20, 2009 - July 20, 2010
CROWN CAPITAL SECURITIES, L.P.
July 20, 2009 - July 20, 2010
CROWN CAPITAL SECURITIES, L.P.
September 10, 2008 - December 31, 2008
MADISON AVENUE ADVISORS, INC.
September 10, 2008 - December 31, 2008
MADISON AVENUE SECURITIES, LLC
August 10, 2007 - July 7, 2008
CUSO FINANCIAL SERVICES, L.P.
August 10, 2007 - July 7, 2008
CUSO FINANCIAL SERVICES, L.P.
June 5, 2007 - August 15, 2007
EPLANNING ADVISORS INC
June 5, 2007 - August 15, 2007
EPLANNING SECURITIES, INC.
February 1, 2006 - May 8, 2007
VOYA FINANCIAL ADVISORS, INC.
January 25, 2006 - May 8, 2007
VOYA FINANCIAL ADVISORS, INC.
September 16, 2004 - December 15, 2005
ATLAS SECURITIES, LLC
September 22, 2003 - September 2, 2004
WAMU INVESTMENTS, INC.
September 19, 2003 - September 2, 2004
WAMU INVESTMENTS, INC.
June 25, 2002 - April 23, 2003
CITICORP INVESTMENT SERVICES
February 27, 2002 - April 23, 2003
CITICORP INVESTMENT SERVICES
May 16, 2001 - February 27, 2002
MORGAN STANLEY DW INC.
January 6, 1999 - May 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1997 - January 5, 1999
CITICORP INVESTMENT SERVICES
October 5, 1995 - May 12, 1997
EDWARD JONES
August 18, 1995 - October 20, 1995
IFMG SECURITIES, INC.
March 30, 1995 - August 26, 1995
WALL STREET ACCESS
Primary Firm SEC Registration
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
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
Current Firm
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
Contact information
SEC notice filing (41 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,702 |
| AUM (Assets Under Management) | $ 552,733,331 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
