Daniel A. Murphy

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CRD#: 2407381

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.

Daniel Anthony Murphy, who also goes by Daniel Anthony Murphy Jr, Daniel Anthony Murphy, Daniel A Murphy, Daniel Murphy, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Anthony Murphy Jr | Daniel Anthony Murphy | Daniel A Murphy | Daniel Murphy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 27, 2021 - November 1, 2021

S.L. REED & COMPANY

CRD#: 40744

LOS ANGELES, CA

Past

April 9, 2021 - June 25, 2021

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

monaca, PA

Past

March 3, 2021 - March 8, 2021

ASPIRATION FINANCIAL LLC

CRD#: 291904

MARINA DEL REY, CA

Past

August 19, 2020 - December 18, 2020

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

August 18, 2020 - December 18, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

October 4, 2019 - February 6, 2020

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ANAHEIM, CA

Past

October 4, 2019 - February 6, 2020

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

April 15, 2005 - March 29, 2019

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

CARPINTERIA, CA

Past

April 15, 2005 - March 29, 2019

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

April 1, 2002 - April 4, 2005

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

IRVINE, CA

Past

February 3, 1998 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

July 14, 1997 - April 4, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 15, 1996 - July 14, 1997

ASB FINANCIAL SERVICES

CRD#: 24280

IRVINE, CA

Past

October 7, 1994 - October 11, 1996

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

May 20, 1994 - June 27, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/5/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 6/1/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/2/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/1996

General Securities Principal Examination

Current Firm

S.L. REED & COMPANY

S. L. REED & COMPANY | S.L. REED & COMPANY

CRD#: 40744 / SEC#: , 8-49178

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346

Mailing Address

11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346

Phone number

(310) 893-3030

Established

California since 01/19/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE WINDWARD CAPITAL GROUP, INC.	SOLE SHAREHOLDER
BRANT, DAVID ROBERT	FINOPS OFFICER	2718478
JOHNSON, JEREMY RONALD	DIRECTOR OF COMPLIANCE	2205695
RISSER, SUZANNE LOUISE	CCO	1303694
ROBILLARD, JOSEPH COLIN	CEO & PRESIDENT	5865733

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Daniel A. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

ASPIRATION FINANCIAL LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

WAMU INVESTMENTS, INC.

ASB FINANCIAL SERVICES

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2001

Series 63

Date: 11/7/1994

Series 6TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1994

Series 14

Date: 1/2/2023

Series 4

Date: 6/1/1998

Series 53

Date: 6/2/1997

Series 24

Date: 4/2/1996

Current Firm

S.L. REED & COMPANY

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

S.L. REED & COMPANY

TRUST BUT VERIFY

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