Dennis P. 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.
Dennis Patrick Murphy, who also goes by Dennis Murphy, Dennis Patrick Murphy, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 2014. Dennis had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
SUNY at Albany
Political Science & English - Political Science & English
2013
Experience
April 29, 2022 - May 23, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 18, 2022 - May 22, 2023
FIDELITY BROKERAGE SERVICES LLC
September 5, 2014 - January 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2014 - January 19, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2014 - May 9, 2014
FORESTERS FINANCIAL SERVICES, 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
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
Company Information
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
Monitor Dennis Murphy
Get automatic monthly alerts on:
