William J. 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.
William James Murphy, who also goes by Bill Murphy, William J Murphy, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2010. William had worked at 7 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
October 16, 2024 - July 30, 2025
CAPITAL BROKERAGE CORPORATION
February 28, 2023 - September 3, 2024
ALLIANCE-ONE INVESTMENTS, LLC
April 14, 2021 - April 8, 2022
TRANSAMERICA CAPITAL, LLC
January 6, 2020 - December 31, 2020
MML INVESTORS SERVICES, LLC
January 26, 2017 - September 27, 2019
FARMERS FINANCIAL SOLUTIONS, LLC
July 31, 2014 - March 7, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
April 12, 2011 - July 30, 2014
PFS INVESTMENTS INC.
March 5, 2010 - December 31, 2010
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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