John P. Mcmurray
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.
John Patrick Mcmurray was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 000, Series 1, Series 10, Series 9, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2008 - January 21, 2022
UBS FINANCIAL SERVICES INC.
November 19, 2008 - January 21, 2022
UBS FINANCIAL SERVICES INC.
February 4, 1998 - November 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1977 - July 11, 1979
CROWN FINANCIAL CORPORATION
January 18, 1977 - April 2, 1977
EQUITY SERVICES, INC.
August 26, 1974 - February 22, 1977
E. F. HUTTON & COMPANY INC
March 6, 1974 - September 22, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 22, 1974 - May 17, 1974
DUPONT WALSTON, INCORPORATED
January 15, 1974 - November 20, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/7/1979
AMEX Put and Call ExamSeries 000
Date: 1/15/1974
General Securities Principal ExaminationSeries 1
Date: 1/15/1974
Registered Representative ExaminationSeries 8
Date: 6/28/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 9/17/1973
NYSE Branch Manager ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
