Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Ray Murphy has been in the industry since December 3, 1990. Charles is currently registered with Moors & Cabot, Inc. Charles is registered in 28 states as a broker and in two states as an investment advisor representative. Charles is active in 28 states for broker activities and active in 2 states for investment advisory activities. Charles has a long history in the industry. Charles previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from December 4, 1990 to September 29, 2016 in Roswell, NM. Charles offers advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. Charles specializes in fixed income, municipal bonds, stocks and mutual funds.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
09/30/2016 - Present
Moors & Cabot, Inc. (PHOENIX AZ)
NM
12/04/1990 - 09/29/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROSWELL NM)
IA
Issued 09/20/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 12/03/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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