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Dennis J. Murphy

Some features on this profile are disabled
CRD#: 4840274
DM

Professional summary

Dennis James Murphy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Dennis had worked at 10 firms, which includes MONMOUTH CAPITAL MANAGEMENT LLC, WOODSTOCK FINANCIAL GROUP INC., CHELSEA FINANCIAL SERVICES, BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., BRECEK & YOUNG ADVISORS INC., VFINANCE INVESTMENTS INC, J.P. TURNER & COMPANY L.L.C., JANNEY MONTGOMERY SCOTT LLC, COMMERCE ONE FINANCIAL INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 25, 2018 - May 16, 2019

MONMOUTH CAPITAL MANAGEMENT LLC

BD
CRD#: 290248
Red Bank, NJ
Past

May 14, 2013 - January 29, 2018

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
STATEN ISLAND, NY
Past

January 3, 2011 - June 6, 2013

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

June 10, 2010 - January 3, 2011

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
STATEN ISLAND, NY
Past

November 10, 2008 - June 14, 2010

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

July 10, 2007 - November 7, 2008

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
STATEN ISLAND, NY
Past

January 4, 2007 - July 11, 2007

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
STATEN ISLAND, NY
Past

April 28, 2006 - January 5, 2007

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
STATEN ISLAND, NY
Past

June 30, 2005 - April 27, 2006

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

October 18, 2004 - June 16, 2005

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

August 9, 2004 - September 14, 2004

COMMERCE ONE FINANCIAL INC.

BD
CRD#: 100340
SYOSSET, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/3/2005
General Securities Principal Examination

Current Firm

MC
MONMOUTH CAPITAL MANAGEMENT LLC
MONMOUTH CAPITAL MANAGEMENT LLC

CRD#: 290248 / SEC#: , 8-70025

BD
Terminated by SEC on 08/14/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 08/22/2017
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MONMOUTH CAPITAL HOLDINGS LLCPARENT
CLARK, RAYMOND WILLIAMCHIEF COMPLIANCE OFFICER2865619
MEYER, ROBERT STEVENCEO3074785
NAVEED, HASNAINFIN-OP7004810

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

MONMOUTH CAPITAL MANAGEMENT LLC

CRD#: 290248

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