Theodore A. 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.
Theodore Alexander Murray was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1966. Theodore had worked at 7 firms and has passed the Series 63, Series 1 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
August 10, 1989 - August 31, 2006
AMERICAN INVESTORS COMPANY
May 17, 1983 - July 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 3, 1982 - June 28, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
February 24, 1978 - February 17, 1982
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 3, 1971 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
October 10, 1966 - April 20, 1971
CLARK, DODGE & CO., INCORPORATED
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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: 10/2/1962
Registered Representative ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
