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Detailed Report
Christopher Murray
CHRISTOPHER A MURRAY MR, CHRISTOPHER A MURRAY, CHRISTOPHER ASALEY MURRAY, CHRISTOPHER ASHLEY MURRAY
CRD#: 5201884
IA
Investment Adviser
B
Broker
HILLTOP SECURITIES INC.CRD#: 6220 24560 SILVER CLOUD CT.
SUITE 201
MONTEREY, CA 93940-6555
Registration History
200620082010201220142016201820202022202420262 FIRMS2008 - 2010 (1 year)2 FIRMS2010 - 2012 (1 year)2 FIRMS2013 - 2017 (4 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BM.L. STERN & CO., LLC. (CRD# 8327)2006 - 2008 (2 years)
License(s)

State Registrations

B
Arizona 1/2/2019
B
Missouri 1/2/2020
IA
Arizona 1/3/2019
IA
Missouri 6/22/2023
B
Arkansas 1/2/2020
B
Montana 1/2/2020
B
California 10/24/2018
IA
Montana 4/2/2020
IA
California 10/24/2018
B
Nevada 10/24/2018
B
Colorado 10/24/2018
IA
Nevada 10/31/2018
IA
Colorado 10/24/2018
B
New York 2/8/2019
B
Connecticut 12/1/2023
IA
New York 6/22/2023
IA
Connecticut 12/1/2023
B
North Carolina 8/25/2023
B
Florida 1/2/2019
IA
North Carolina 8/28/2023
IA
Florida 1/3/2019
B
Ohio 1/3/2020
B
Georgia 2/6/2020
B
Oklahoma 11/4/2020
IA
Georgia 7/26/2021
IA
Oklahoma 6/22/2023
B
Hawaii 7/11/2019
B
Oregon 2/8/2019
IA
Hawaii 7/12/2019
IA
Oregon 6/16/2021
B
Idaho 2/8/2019
B
Pennsylvania 3/8/2022
IA
Idaho 6/23/2023
B
South Carolina 1/2/2020
B
Illinois 8/2/2019
B
South Dakota 8/28/2019
IA
Illinois 12/8/2023
B
Tennessee 9/24/2020
B
Indiana 1/2/2020
B
Texas 2/8/2019
B
Iowa 8/2/2019
IA
Texas 4/30/2024
B
Kansas 10/14/2019
B
Utah 2/8/2019
B
Kentucky 1/2/2020
IA
Utah 3/27/2023
IA
Kentucky 11/28/2023
B
Washington 2/8/2019
B
Massachusetts 10/17/2024
IA
Washington 6/21/2023
B
Michigan 11/2/2020
B
Wisconsin 10/24/2018
B
Minnesota 3/14/2019
IA
Wisconsin 10/30/2018

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
HILLTOP SECURITIES INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 10/24/2018
B
HILLTOP SECURITIES INC. (CRD#:6220)
24560 SILVER CLOUD CT. SUITE 201, MONTEREY, CA 93940-6555
Registered with this firm since 10/24/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/25/2017 - 10/25/2018 HILLTOP SECURITIES INDEPENDENT NETWORK INC. (CRD#:17587) Eagle, CO
B
 09/25/2017 - 10/25/2018 HILLTOP SECURITIES INDEPENDENT NETWORK INC. (CRD#:17587) Eagle, CO
IA
 06/12/2013 - 09/19/2017 EDWARD JONES (CRD#:250) EAGLE, CO
B
 06/17/2013 - 09/19/2017 EDWARD JONES (CRD#:250) EAGLE, CO
IA
 08/23/2010 - 03/05/2012 SWS FINANCIAL SERVICES, INC. (CRD#:17587) EAGLE, CO
B
 08/20/2010 - 03/05/2012 SWS FINANCIAL SERVICES, INC. (CRD#:17587) EAGLE, CO
IA
 12/17/2008 - 09/10/2010 SOUTHWEST SECURITIES, INC. (CRD#:6220) MONTEREY, CA
B
 12/02/2008 - 09/10/2010 SOUTHWEST SECURITIES, INC. (CRD#:6220) MONTEREY, CA
B
 10/13/2006 - 12/31/2008 M.L. STERN & CO., LLC. (CRD#:8327) CARMEL, CA
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.