David 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.
David J Murphy was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2015 - July 29, 2025
GALLATIN CAPITAL LLC
June 1, 2005 - August 10, 2007
HUNTHILL CAPITAL, LLC
August 19, 1987 - December 17, 2004
MORGAN STANLEY MARKET PRODUCTS INC.
September 6, 1984 - June 14, 2005
MORGAN STANLEY & CO. LLC
October 22, 1980 - August 31, 1984
BECKER PARIBAS INCORPORATED
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 5
Date: 9/30/1982
Interest Rate Options ExaminationSeries 8
Date: 6/3/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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