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Thomson Cochran Murray Jr

CRD# 2506223·Registered 1995 - 2015
Previously Registered: Being a previously registered professional could mean that Thomson 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.

Professional Summary

Thomson Cochran Murray JR, who also goes by Thomson Murray, Tom Murray, was a registered financial advisor. Thomson was a previously registered financial professional and started their career in finance 1995 - 2015. Thomson had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomson Murray, Tom Murray

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

GEORGE K. BAUM & COMPANY·CRD# 36354
BD
New York, NY
February 26, 2014 - July 20, 2015
ADVISORS ASSET MANAGEMENT, INC.·CRD# 46727
BD
Melville, NY
March 17, 2011 - February 27, 2014
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
New York, NY
June 10, 2010 - March 24, 2011
COHEN & COMPANY SECURITIES, LLC·CRD# 104002
BD
New York, NY
December 9, 2008 - June 15, 2010
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
April 5, 1995 - September 17, 2008

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Current Firm

GK
GEORGE K. BAUM & COMPANY

GEORGE K. BAUM & COMPANY | GKB ACQUISITION CO.

CRD#: 36354 / SEC#: 8-47195
BD
Terminated by SEC on 12/31/2019

Contact Information

Established

Missouri since 12/16/1993

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGE K. BAUM HOLDINGS, INC.PARENT—
BAUM, JONATHAN EDWARDDIRECTOR/CEO/PRESIDENT1492485
BJORNSON, DANA LLOYDDIRECTOR/CFO/CCO3112986
QUATROCHI, NICHOLAS JOSEPHDIRECTOR/EVP/CHISO/CIO/FINOP2463410

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1996About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1995About the Series 7 exam

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CRS (Client Relationship Summary)

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

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