DM
David B. Murray
VOYA FINANCIAL ADVISORS
Portland, ME 04101
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CRD#: 3086951
DM
Professional summary
David Bruce Murray, who also goes by David B Murray, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Portland, Maine.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David B Murray
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.
NAME OF ENTITY:DAVID MURRAY-CPA; No; 8 HORSESHOE DR; SCARBOROUGH; ME; 04074; TAX PREPARATION; TAX PREP0ARER; 11/20/2017; 2; 0; PREPARE AND SUBMIT TAX RETURNS|NAME OF ENTITY:DAVID B. MURRAY-MINISTER; No; 8 HORSESHOE DR; SCARBOROUGH; ME; 04074; PERFORM WEDDINGS; MINISTER; 11/1/2016; 1; 0; OFFICIATE WEDDINGS|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 188 State Street, Suite 412; Portland; ME; 04101; Fixed insurance sales; Independent Insurance Agent; 7/24/2019; 1; 1; Sales of fixed insurance producxts|
CRS (Client Relationship Summary) - RIA
Click below to view David Bruce Murray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Bruce Murray's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 15, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 188 State Street Suite 412, Portland, ME 04101RIA
BD
CRD#: 2882
Portland, ME
Current
January 23, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 188 State Street Suite 412, Portland, ME 04101RIA
BD
CRD#: 2882
Portland, ME
Past
May 4, 2012 - January 22, 2019
DAVINCI CAPITAL MANAGEMENT, INC.
RIA
CRD#: 46897
SCARBOROUGH, ME
Past
May 4, 2012 - January 22, 2019
DAVINCI CAPITAL MANAGEMENT, INC.
BD
CRD#: 46897
CAMBRIDGE, MA
Past
July 28, 2011 - April 23, 2012
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CUMBERLAND FORESIDE, ME
Past
July 28, 2011 - April 23, 2012
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
CUMBERLAND FORESIDE, ME
Past
June 19, 2008 - January 30, 2009
DAVINCI CAPITAL MANAGEMENT, INC.
RIA
CRD#: 46897
YARMOUTH, ME
Past
February 19, 2008 - July 28, 2011
DAVINCI CAPITAL MANAGEMENT, INC.
BD
CRD#: 46897
YARMOUTH, ME
Past
April 16, 2003 - February 29, 2008
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
AUBURN, ME
Past
October 4, 2001 - June 25, 2002
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
August 3, 1998 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
BD
CRD#: 27038
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/27/2023)
RR
Florida(1/23/2019)
RR
Maine(1/23/2019)
IAR
Maine(3/15/2019)
RR
Minnesota(1/2/2025)
RR
New Hampshire(1/9/2020)
RR
New Jersey(1/23/2019)
RR
New York(2/20/2020)
IAR
New York(10/12/2022)
RR
Vermont(1/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Portland, ME 04101TRUST BUT VERIFY
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