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Detailed Report
RICHARD JOHN MURRAY II
RICH MURRAY, RICHARD JOHN II MURRAY
CRD#: 1107727
IA
Investment Adviser
B
Broker
ISC FINANCIAL ADVISORSCRD#: 157626 200 NORTH BROADWAY AVE.
ALBERT LEA, MN 56007
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 200 North Broadway Avenue
Albert Lea, MN 56007
Registration History
1985199019952000200520102015202020252 FIRMS1983 - 1987 (4 years)2 FIRMS2020 - 2020 (<1 year)IAISC FINANCIAL ADVISORS (CRD# 157626)2014 - Present (11 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2021 - Present (4 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)1987 - 2020 (33 years)BIDS FINANCIAL SERVICES INC. (CRD# 6320)1983 - 1986 (3 years)IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2014 - 2017 (3 years)
License(s)

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
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ISC FINANCIAL ADVISORS (CRD#:157626)
200 NORTH BROADWAY AVE., ALBERT LEA, MN 56007
Registered with this firm since 1/31/2014
B
PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
200 North Broadway Avenue, Albert Lea, MN 56007
Registered with this firm since 1/6/2021
Previous Registration(s)
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IA
 12/23/2020 - 12/31/2020 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ALBERT LEA, MN
B
 12/23/2020 - 12/31/2020 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ALBERT LEA, MN
B
 08/27/1987 - 12/18/2020 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ALBERT LEA, MN
IA
 01/23/2014 - 05/04/2017 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) ALBERT LEA, MN
B
 03/28/1983 - 09/11/1987 IDS LIFE INSURANCE COMPANY (CRD#:6321)
B
 03/28/1983 - 08/03/1987 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)
B
 03/28/1983 - 12/24/1986 IDS FINANCIAL SERVICES INC. (CRD#:6320)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.