John M. 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.
John Michael Murphy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2013 - July 17, 2023
HENNION & WALSH, INC.
October 23, 1997 - November 12, 1997
AMUNI FINANCIAL, INC.
April 29, 1996 - May 15, 2014
PMK SECURITIES & RESEARCH, INC.
June 25, 1986 - May 24, 1996
RUAN SECURITIES CORPORATION
September 24, 1984 - May 27, 1986
AMERICAN SECURITIES GROUP OF FLORIDA, INC.
February 23, 1981 - September 13, 1984
UBS FINANCIAL SERVICES INC.
September 12, 1973 - November 4, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 7, 1970 - October 11, 1973
FIRST UNION CAPITAL MARKETS CORP.
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 1
Date: 7/29/1970
Registered Representative ExaminationCurrent Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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