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Detailed Report
JAMES J MURRAY
CRD#: 4713999
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 550 E Swedesford Rd
Ste 240
Wayne, PA 19087
Registration History
200420062008201020122014201620182020202220242026IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2005 - Present (19 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2003 - Present (21 years)
License(s)

State Registrations

B
Arizona 4/4/2016
B
Nevada 4/4/2016
B
California 4/4/2016
B
New Hampshire 3/15/2006
B
Colorado 4/4/2016
B
New Jersey 3/1/2004
B
Connecticut 3/23/2009
B
New York 3/23/2009
B
Delaware 3/6/2012
B
North Carolina 4/4/2016
B
District of Columbia 4/4/2016
B
Ohio 4/4/2016
B
Florida 1/12/2010
B
Oklahoma 4/26/2016
B
Georgia 4/4/2016
B
Oregon 4/4/2016
B
Hawaii 9/12/2012
B
Pennsylvania 1/5/2004
B
Illinois 4/4/2016
IA
Pennsylvania 6/2/2005
B
Indiana 4/4/2016
B
Rhode Island 4/4/2016
B
Kansas 4/4/2016
B
South Carolina 4/4/2016
B
Maine 4/4/2016
B
Texas 4/4/2016
B
Maryland 10/7/2004
IA
Texas 6/16/2021
B
Massachusetts 4/4/2016
B
Utah 4/4/2016
B
Michigan 7/17/2014
B
Virginia 4/4/2016
B
Mississippi 4/4/2016
B
Washington 4/4/2016
B
Missouri 4/4/2016
B
Wisconsin 1/5/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
550 E Swedesford Rd Ste 240, Wayne, PA 19087
Registered with this firm since 6/2/2005
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
550 E Swedesford Rd Ste 240, Wayne, PA 19087
Registered with this firm since 10/24/2003
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.