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RICHARD JOHN MURRAY II
RICH MURRAY, RICHARD JOHN II MURRAY
CRD#: 1107727
IA
B
ISC FINANCIAL ADVISORSCRD#: 157626 200 NORTH BROADWAY AVE.
ALBERT LEA, MN 56007
ALBERT LEA, MN 56007
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 200 North Broadway Avenue
Albert Lea, MN 56007
Albert Lea, MN 56007
0
Disclosures
42
Years of Experience
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State Registrations
B
Arizona 9/10/2024
IA
Minnesota 1/31/2014
B
Florida 1/6/2021
B
Minnesota 1/6/2021
B
Georgia 1/6/2021
B
South Dakota 1/6/2021
B
Iowa 1/6/2021
B
Wisconsin 1/6/2021
B
Kansas 1/6/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/31/2014
B
Registered with this firm since 1/6/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/23/2020 - 12/31/2020 | ALBERT LEA, MN | |
B | 12/23/2020 - 12/31/2020 | ALBERT LEA, MN | |
B | 08/27/1987 - 12/18/2020 | ALBERT LEA, MN | |
IA | 01/23/2014 - 05/04/2017 | ALBERT LEA, MN | |
B | 03/28/1983 - 09/11/1987 | ||
B | 03/28/1983 - 08/03/1987 | ||
B | 03/28/1983 - 12/24/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.