Thomas 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.
Thomas Joseph Murphy, who also goes by Thomas Joseph Murphy, Thomas Murphy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 63, Series 65, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - March 27, 2013
HARVEST CAPITAL ADVISORS, LLC
June 26, 2012 - March 27, 2013
HARVEST CAPITAL LLC
October 27, 2010 - May 23, 2012
NORTHSTAR FINANCIAL COMPANIES, INC.
June 16, 2010 - April 17, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 13, 2003 - June 8, 2010
HARVEST CAPITAL LLC
October 9, 1997 - October 27, 2010
KENSINGTON MANAGEMENT CO
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 12/6/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
HARVEST CAPITAL ADVISORS, LLC
CRD#: 125920 / SEC#:
Contact information
Red Flags
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