Betty Ann 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.
Betty Ann Murphy, who also goes by Betty Ann Followill, Betty Ann Murphy, Betty Ann Washington, was a registered financial professional .
Betty Ann is a previously registered financial professional and started their career in finance in 2003. Betty Ann had worked at 3 firms and has passed the Series 63, SIE 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
December 23, 2016 - October 12, 2021
THE LEADERS GROUP, INC.
November 1, 2013 - December 1, 2014
PARKLAND SECURITIES, LLC
May 11, 2011 - November 1, 2013
THE LEADERS GROUP, INC.
January 23, 2003 - May 23, 2011
SECURITIES MANAGEMENT & RESEARCH, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
