Individual Firm
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EDWIN JAMES MURPHY JR
ED MURPHY
CRD#: 2658678
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 585-1 ROUTE 25 A
ROCKY POINT, NY 11778
ROCKY POINT, NY 11778
View By:
3/27/2024
Customer Dispute
Settled
State Registrations
B
Florida 11/29/2016
IA
New York 6/22/2021
B
Michigan 4/20/2023
B
North Carolina 12/9/2016
B
New Hampshire 2/2/2022
B
South Carolina 4/20/2023
B
New Jersey 9/25/2018
B
Virginia 6/17/2022
B
New York 10/7/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 6/22/2021
B
Registered with this firm since 10/7/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/07/2015 - 10/03/2016 | MINNEAPOLIS, MN | |
B | 09/28/2011 - 12/17/2014 | ROCKY POINT, NY | |
B | 12/02/2010 - 09/29/2011 | ROCKY POINT, NY | |
B | 11/14/1995 - 12/03/2010 | ROCKY POINT, NY |
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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.
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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.