Brian F. 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.
Brian F Murphy was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - January 23, 2018
JONESTRADING
May 8, 2015 - April 3, 2017
BLAYLOCK VAN, LLC
September 11, 2014 - May 8, 2015
LEK SECURITIES CORPORATION
March 14, 2012 - September 12, 2014
MILLER TABAK + CO., LLC
July 6, 2010 - August 23, 2011
MERRIMAN CAPITAL, INC.
July 10, 2009 - April 27, 2010
B. RILEY & CO., LLC
July 25, 2005 - April 7, 2009
KEEFE, BRUYETTE & WOODS, INC.
May 31, 2001 - June 3, 2005
CANACCORD GENUITY SECURITIES LLC
August 30, 2000 - May 3, 2001
TD AMERITRADE, 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 55
Date: 9/21/2005
Limited Representative-Equity Trader ExamCurrent Firm
JONESTRADING
CRD#: 6888 / SEC#: , 8-26089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
