Hugh V. Murray
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.
Hugh Vincent Murray III, who also goes by Hugh VIncent Murray, was a registered financial advisor .
Hugh is a previously registered financial advisor and started their career in finance in 1976. Hugh had worked at 6 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1994 - January 3, 2012
OAKBRIDGE FINANCIAL SERVICES
December 4, 1986 - September 10, 1987
WISTON EQUITY CORPORATION
July 15, 1985 - January 3, 2012
OAKBRIDGE FINANCIAL SERVICES
January 9, 1984 - June 28, 1985
ALVERY BARTLETT BROKERAGE CO.
January 20, 1982 - January 30, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
June 20, 1979 - November 9, 1981
STIX & CO., INC.
September 1, 1976 - July 14, 1979
I.M. SIMON & CO., 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
Series 15
Date: 3/2/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/4/1983
Interest Rate Options ExaminationCurrent Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
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.
