Richard J. 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.
Richard Joseph Murphy JR, who also goes by Richard Murphy, Richard Joseph Murphy, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 19, Series 57, Series 7, Series 55, Series 24 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2020 - August 5, 2024
ERNST & YOUNG INVESTMENT ADVISERS LLP
January 3, 2019 - April 27, 2020
PRUCO SECURITIES, LLC.
October 12, 2017 - April 27, 2020
PRUCO SECURITIES, LLC.
August 26, 2015 - September 5, 2017
QUATTRO M SECURITIES INC.
May 18, 2001 - December 3, 2008
CJM SECURITIES, INC.
January 2, 2001 - November 1, 2002
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 2, 2001
HUNTER SPECIALISTS, LLC
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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 19
Date: 10/13/2016
NYSE Floor Clerk - Equities ExaminationSeries 55
Date: 5/16/2008
Limited Representative-Equity Trader ExamSeries 14A
Date: 6/25/1994
Compliance Official Specialist ExamCurrent Firm
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
Red Flags
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