Individual Firm
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Randall Robert Murphy
RANDALL R MURPHY
CRD#: 5109573
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 ADA, MI
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 ADA, MI
View By:
9/22/2015
Customer Dispute
Denied
State Registrations
B
Michigan 5/28/2020
B
Texas 1/30/2025
IA
Michigan 5/28/2020
IA
Texas 1/30/2025
B
South Carolina 1/18/2023
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/15/2010 - 06/26/2019 | Grand Rapids, MI | |
B | 04/24/2006 - 06/26/2019 | Grand Rapids, MI |
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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.