Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Murga is a financial advisor who has been in the industry since 2006. Rick is registered with J.p. Morgan Securities LLC in CA and TX. Rick is also registered with FINRA. Rick specializes in working with high-net-worth individuals, corporations, and pension and profit-sharing plans. Rick has been with J.p. Morgan Securities LLC since 2012. Before that, Rick worked for Chase Investment Services Corp. and WAMU INVESTMENTS, INC. Rick has a strong background in investments and financial planning.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
11/06/2018 - Present
J.p. Morgan Securities LLC (WHITTIER CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WHITTIER CA)
CA
12/19/2006 - 05/02/2009
WAMU INVESTMENTS, INC. (WHITTIER CA)
NY
11/30/2005 - 06/08/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/26/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/06/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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