Carol A. 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.
Carol Ann Murphy, who also goes by Carol Ann Mccabe, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2000. Carol had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2012 - October 28, 2014
MONTECITO ADVISORS, INC.
March 16, 2011 - June 19, 2012
MONTECITO ADVISORS, INC.
June 19, 2007 - June 30, 2008
BROWN BROTHERS HARRIMAN & CO.
March 2, 2005 - January 15, 2015
GLOBAL DIRECT EQUITIES, LLC
December 13, 2000 - February 22, 2005
INLINE BROKERS, 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: 11/30/2010
Limited Representative-Equity Trader ExamSeries 7A
Date: 6/25/2003
Floor Broker Representative ExamSeries 25
Date: 8/24/2001
NYSE Trading Assistant ExaminationCurrent Firm
MONTECITO ADVISORS, INC.
CRD#: 104004 / SEC#: , 8-52471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENADRY, ELIE MICHEL | CHAIRMAN OF THE BOARD, LTD PRINCIPAL | 721443 |
| BANERJEE, DEBASISH ("NMN") | CO-FINOP | 1555979 |
| KAPERNEKAS, ATHANASIOS G | TRADE RISK MANAGER | 4183213 |
| WOLF, ALEXANDER VICTOR | CFO, CO-FINOP | 2155490 |
| WOLF, ALEXANDER VICTOR | GSP | 2155490 |
| ZOPP, MELANIE ALANE | CHIEF COMPLIANCE OFFICER, GSP | 4671608 |
| ZOPP, MELANIE ALANE | CEO | 4671608 |
Disclosures
| Regulatory Event | 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.
