Monica J. Murphy
Professional summary
Monica Jeanne Murphy, who also goes by Monica Jeanne Malone, Monica Jean Murphy, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.
Monica is registered as a RR (Registered Representative) and started their career in finance in 2006. Monica has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monica Jeanne Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2024 - Present
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
Office #1: 1095 Avenue Of The Americas, New York, NY 10036February 6, 2023 - July 23, 2024
SANTANDER US CAPITAL MARKETS LLC
April 20, 2015 - February 6, 2023
SANTANDER INVESTMENT SECURITIES INC.
January 1, 2010 - April 8, 2015
UBS FINANCIAL SERVICES INC.
January 1, 2010 - April 8, 2015
UBS FINANCIAL SERVICES INC.
December 21, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
August 27, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
November 13, 2006 - July 5, 2007
HSBC SECURITIES (USA) 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
(7/16/2024)
(7/16/2024)
(7/16/2024)
Exams
FINRA
Current Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
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