James G. 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.
James Gregory Murphy, who also goes by (james) J Gregory Murphy, Gregory J Murphy, Gregory James Murphy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 5 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2007 - November 21, 2013
THE O.N. EQUITY SALES COMPANY
August 12, 2006 - June 26, 2007
UBS FINANCIAL SERVICES INC.
March 9, 1995 - August 12, 2006
PIPER SANDLER & CO.
January 28, 1995 - April 5, 1995
UBS FINANCIAL SERVICES INC.
February 18, 1987 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 21, 1967 - February 27, 1987
CITIGROUP GLOBAL MARKETS INC.
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 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/17/1967
Registered Representative ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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