Robert J. Murray
Professional summary
Robert John Murray was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Robert had worked at 9 firms, which includes SW FINANCIAL, JOSEPH STONE CAPITAL L.L.C., SPARTAN CAPITAL SECURITIES LLC, ROCKWELL GLOBAL CAPITAL LLC, SUMMIT BROKERAGE SERVICES INC., VANGUARD CAPITAL, BROOKVILLE CAPITAL PARTNERS, BENSON YORK GROUP INC., HD BROUS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2018 - November 9, 2018
SW FINANCIAL
July 8, 2016 - August 7, 2018
JOSEPH STONE CAPITAL L.L.C.
October 2, 2012 - August 4, 2016
SPARTAN CAPITAL SECURITIES, LLC
April 19, 2010 - October 23, 2012
ROCKWELL GLOBAL CAPITAL LLC
November 13, 2009 - April 21, 2010
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2008 - November 17, 2009
VANGUARD CAPITAL
February 13, 2006 - December 19, 2007
BROOKVILLE CAPITAL PARTNERS
August 7, 2002 - March 8, 2006
BENSON YORK GROUP, INC.
July 2, 1999 - July 22, 2002
VANGUARD CAPITAL
December 4, 1998 - July 7, 1999
HD BROUS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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