Kathryn L. 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.
Kathryn Louise Murphy, who also goes by Kathryn Murphy, Kathryn Murphy O'donnell, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1996. Kathryn had worked at 6 firms and has passed the Series 63, SIE, Series 79 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 3, 2016 - April 11, 2023
CAPITAL ONE SECURITIES, INC.
August 26, 2011 - December 2, 2015
GE CAPITAL MARKETS, INC.
April 28, 2008 - October 20, 2010
NATWEST MARKETS SECURITIES INC.
March 30, 2005 - April 25, 2008
RBS SECURITIES CORPORATION
December 22, 1997 - February 15, 2005
LEHMAN BROTHERS INC.
January 12, 1996 - July 8, 1997
DB ALEX. BROWN 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
Exams
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
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.
