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MT

Mary Toumpas

Some features on this profile are disabled
CRD#: 343341
MT

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.

Mary Toumpas, who also goes by Mary Toumpas Murphy, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1974. Mary had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary Toumpas Murphy

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 30, 2015 - May 26, 2017

HARVEST USA

BD
CRD#: 165614
NEW YORK, NY
Past

July 6, 2015 - April 12, 2016

NEW CITY CAPITAL LLC

BD
CRD#: 172913
SAN DIEGO, CA
Past

April 28, 2015 - November 30, 2015

WFS, LLC

BD
CRD#: 116778
BOSTON, MA
Past

March 27, 2015 - January 13, 2017

CAMMACK LARHETTE BROKERAGE, INC.

BD
CRD#: 109906
NEW YORK, NY
Past

January 2, 2015 - November 30, 2015

ABD RETIREMENT SERVICES, INC.

BD
CRD#: 167641
SAN FRANCISCO, CA
Past

November 11, 2014 - November 20, 2015

ARMORY SECURITIES, LLC

BD
CRD#: 147796
EL SEGUNDO, CA
Past

May 24, 2013 - October 22, 2014

HARVEST USA

BD
CRD#: 165614
NEW YORK, NY
Past

September 20, 2010 - June 7, 2012

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

July 22, 2010 - June 7, 2012

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

March 6, 2008 - May 21, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

December 2, 2004 - October 31, 2008

ENTERPRISE FUND DISTRIBUTORS, INC.

BD
CRD#: 883
ATLANTA, GA
Past

December 12, 2001 - May 21, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 23, 2001 - June 7, 2012

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

April 1, 1998 - October 22, 2001

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

July 5, 1974 - February 6, 1998

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/17/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/26/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 6/29/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/1984
General Securities Principal Examination

Current Firm

HU
HARVEST USA
HARVEST KRANE INVESTMENTS LLC | HGI (USA) INVESTMENTS LLC | HARVEST USA

CRD#: 165614 / SEC#: , 8-69176

BD
Terminated by SEC on 05/31/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HGI (USA) LLCMANAGING MEMBER
KRUKOWSKI, JULIAN THEODORECHIEF COMPLIANCE OFFICER3070439
KRUKOWSKI, JULIAN THEODORECEO3070439
TAO, BING QINCFO/FINOP/PFO/POO6253793

Disclosures

Civil Event1

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

HARVEST USA

CRD#: 165614

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