Steven S. 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.
Steven Scott Murphy was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2009 - April 1, 2016
EFS ASSET MANAGEMENT LLC
December 7, 2006 - August 3, 2009
BELMONT ASSET MANAGEMENT, INC.
November 15, 2005 - August 4, 2009
BELMONT ASSET MANAGEMENT, INC.
May 3, 2001 - July 30, 2002
CLARK SECURITIES, INC.
September 12, 2000 - May 2, 2001
WESTPORT FINANCIAL SERVICES, L.L.C.
Primary Firm SEC Registration
EFS ASSET MANAGEMENT LLC
CRD#: 106184 / SEC#: 801-37873
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
Current Firm
EFS ASSET MANAGEMENT LLC
CRD#: 106184 / SEC#: 801-37873
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 51 |
| AUM (Assets Under Management) | $ 60,018,287 |
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.
