George 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.
George Murphy, who also goes by George David Murphy III, George David Murphy, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2013. George had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2018 - July 15, 2020
INVESCO ADVISERS, INC.
December 14, 2018 - July 15, 2020
INVESCO DISTRIBUTORS, INC.
June 26, 2018 - December 10, 2018
COREBRIDGE CAPITAL SERVICES, INC.
May 12, 2017 - July 11, 2017
NOBLES & RICHARDS, INC.
June 23, 2016 - May 4, 2017
NEXPOINT SECURITIES, INC.
February 27, 2015 - June 13, 2016
NYLIFE SECURITIES LLC
September 10, 2013 - March 19, 2014
SHEARSON FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
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
Series 7TO
Date: 3/4/2024
General Securities Representative ExaminationCurrent Firm
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
