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CM

Connor W. Murphy

CAPITAL ONE SECURITIES
NEW ORLEANS, LA 70170
Some features on this profile are disabled
CRD#: 5822248
CM

Professional summary

Connor William Murphy, who also goes by Connor Murphy, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New Orleans, Louisiana.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2010. Connor has worked at 3 firms and has passed the Series 63, Series 87, Series 86, Series 7TO, SIE, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Connor Murphy

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) - BD

Click below to view Connor William Murphy's CRS (Customer Relationship Summary).

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

Current

July 18, 2022 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
BD
CRD#: 44158
NEW ORLEANS, LA
Past

July 8, 2020 - July 11, 2022

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 21, 2010 - September 12, 2013

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(7/18/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 9/26/2020
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 8/25/2020
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/26/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/27/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/20/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CO
CAPITAL ONE SECURITIES, INC.
CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Mailing Address
201 St. Charles Avenue Suite 1830, New Orleans, LA 70170
Phone number
(504) 533-7377
Established
Louisiana since 04/01/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE FINANCIAL CORPORATION100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGHDIRECTOR3117394
HALPRIN, GABRIELLE BAILLEUXCHIEF FINANCIAL OPERATIONS OFFICER (FINOP)5087341
JOHNSON, RUSSELL ALANDIRECTOR2785704
KUCERA, DAVID JOHNDIRECTOR2598213
MULLIGAN, ROBERTCHIEF COMPLIANCE OFFICER1584973
NAKAMURA, SEIJI PETERDIRECTOR2561992
PORPHY, JEFFREY RDIRECTOR4107535
TULIP, STEVEN ANDREWPRESIDENT AND DIRECTOR2540149

Disclosures

Regulatory Event3

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.

Company Information

CAPITAL ONE SECURITIES, INC.

CRD#: 44158New Orleans, LA 70170

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