Paul J. Murray
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.
Paul J Murray, who also goes by Paul Murray, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1971. Paul had worked at 9 firms and has passed the Series 7TO, SIE 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
August 15, 2006 - September 1, 2022
PURSHE KAPLAN STERLING INVESTMENTS
December 10, 2001 - August 15, 2006
KESTRA INVESTMENT SERVICES, LLC
May 13, 1996 - November 19, 2001
PURSHE KAPLAN STERLING INVESTMENTS
October 9, 1985 - May 20, 1996
CARILLON INVESTMENTS, INC.
December 14, 1983 - March 13, 1989
NATHAN & LEWIS SECURITIES, INC.
April 19, 1983 - February 27, 1984
ADVANTAGE CAPITAL CORPORATION
March 23, 1983 - January 19, 1984
RELIASTAR FINANCIAL MARKETING CORP.
October 20, 1980 - May 3, 1983
EQUITABLE ADVISORS, LLC
March 9, 1978 - May 3, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 26, 1975 - January 28, 1978
GUARDIAN INVESTOR SERVICES LLC
February 3, 1971 - October 10, 1975
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 ExaminationSeries 1
Date: 1/26/1971
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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