Liam D. Munro
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.
Liam Duncan Munro, who also goes by Liam D Munro, Liam Munro, was a registered financial professional .
Liam is a previously registered financial professional and started their career in finance in 2021. Liam had worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 6TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2024 - July 2, 2026
PURSHE KAPLAN STERLING INVESTMENTS
September 11, 2024 - November 20, 2024
LPL FINANCIAL LLC
May 1, 2023 - July 16, 2024
NYLIFE SECURITIES LLC
May 25, 2021 - January 3, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
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 99TO
Date: 11/7/2025
Operations Professional ExaminationSeries 7TO
Date: 1/31/2025
General Securities Representative ExaminationSeries 6TO
Date: 5/25/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
