John J. Murphy
Professional summary
John Joseph Murphy is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2023 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: 1301 Avenue Of Americas Suite 3700, New York, NY 10019January 27, 2023 - April 7, 2023
CHARLES SCHWAB & CO., INC.
November 10, 2015 - April 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 6, 2015 - October 14, 2022
TD AMERITRADE, INC.
November 6, 2015 - April 7, 2023
TD AMERITRADE, INC.
April 14, 2014 - October 30, 2015
PRUCO SECURITIES, LLC.
July 11, 2013 - October 30, 2015
PRUCO SECURITIES, LLC.
December 10, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
September 6, 2011 - December 7, 2012
RICE FINANCIAL PRODUCTS COMPANY
January 5, 2011 - May 3, 2011
CABRERA CAPITAL MARKETS, LLC
March 30, 2009 - January 3, 2011
DEALERWEB LLC
June 11, 2008 - January 8, 2009
EDWARD JONES
May 19, 2008 - January 8, 2009
EDWARD JONES
November 4, 1993 - May 5, 2008
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/14/2023)
Exams
FINRA
Nasdaq Stock Market
Current Firm
KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYCORP | SOLE SHAREHOLDER | |
| GILBERT, STACY LEE | DIRECTOR | 5316644 |
| HAYDEN, WILLIAM PATRICK | CHIEF COMPLIANCE OFFICER | 4136632 |
| JANOFSKY, PAULA MARIE | CHIEF OPERATIONS OFFICER, DIRECTOR | 2882776 |
| KOVACHICK, MARK ALLAN | DIRECTOR, CFO | 5390571 |
| PAINE, ANDREW JACKSON III | MANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING | 2450522 |
| PREISER, DOUGLAS WILLIAM | CHIEF EXECUTIVE OFFICER, DIRECTOR | 1690776 |
| SKARDA, JOSEPH BRIEL | DIRECTOR | 4288186 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 15 |
| Bond | 1 |
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.
